Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Focus Adds $926M Advisor Group
By Janet LevauxDebra Brede and her team make the move after spending the past 30 years with Commonwealth Financial.
November 10, 2020
The Schwab-TD Ameritrade Deal Is Finally Here"Despite the purchase of small-advisor friendly TD Ameritrade [by Schwab], there are many advancements in technology and new service model choices, making the opportunities for smaller advisors never better," Tim Welsh explains.
November 10, 2020
SEC Continued With 'Vigor' Despite Pandemic: ClaytonThe agency examined 15% of all RIAs in FY 2020 and wants to hire more examiners next year to help monitor Reg BI, Form CRS compliance.
November 10, 2020
Schwab-TD Ameritrade Deal Creates New 'RIA-lity'With the close of Charles Schwab's $22 billion purchase of TD Ameritrade, we look at what it means for advisors and the overall industry.
November 06, 2020
Cetera Added 62 Advisors in Q3It added financial professionals from more than 20 independent and wirehouse rivals.
November 06, 2020
FINRA Sets Sights on Registered Index-Linked AnnuitiesThese annuities have seen a significant jump this year, said FINRA CEO Cook.
November 03, 2020
New York BDs Merge to Form $2B Herold & Lantern InvestmentsCombining are the family-owned firms Bernard Herold & Co. and Lantern Investments.
November 03, 2020
Stifel Adds 3 Merrill AdvisorsTwo advisors moved to Stifel in Dallas, while the other did so in the St. Louis area; the three had combined assets of $243 million.