Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Commonwealth Targets Breakaways With 'Soft Landing' Program
By Jeff BermanServices suite includes human resources, marketing and other support to "ease the transition" for wirehouse advisors going independent.
January 20, 2021
LPL Nabs Microsoft Exec to Lead Advisor SolutionsEd Fandrey will be based in San Diego and report to President & CEO Dan Arnold.
January 19, 2021
Defining 'Best Interest' Will Be a Priority for Gensler's SEC"I can't think of anyone better qualified than Gary" to lead the SEC, former Chairman Arthur Levitt tells ThinkAdvisor.
January 19, 2021
Cetera Adds Riskalyze Solutions CompanywideRiskalyze is providing risk alignment and portfolio analytics solutions to the entire Cetera network at no extra cost to advisors.
January 15, 2021
Jud Mackrill Exits Carson Group to Start Fintech FirmThe executive steps down as Carson's chief marketing officer after two years to co-found Milemarker in South Carolina.
January 14, 2021
Advisor Group Hires Ex-Schwab Exec to Lead Digital SolutionsPeter Clemson is appointed to the newly created position to lead the firm's continued buildout of digital solutions.
January 14, 2021
The Big Mistake That Stifles Indie Advisors' GrowthRIA Robert Fragasso gives ThinkAdvisor some advice on going indie, including a critical lesson he learned in running his firm.
January 14, 2021
Here Are the States With Best-Interest Rules for AnnuitiesFive states have approved these rules, and eight more have proposals in progress.