Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fidelity Expands Reach of Its Model Portfolios
By Bernice NapachFidelity Model Portfolios are now available to advisors on 16 platforms.
October 22, 2020
UBS Expands Workplace Wealth Solutions: Tech RoundupAlso, LaSalle St. is the latest firm to launch a financial planning platform.
October 22, 2020
$1.1B Merrill Team Jumps to JPMorganThe four-member Campbell Group made the move in San Francisco and is led by Gwen Campbell.
October 21, 2020
Janney Reports Big Jump in Advisors' Use of Social Media, TextsThe BD says virtual client communication via Hearsay Systems' compliant tools is up significantly during the pandemic.
October 20, 2020
Ex-SagePoint Rep Invested Clients' Funds in Sham Pension SchemeThe former broker invested $210,000 of his client's money in private securities transactions without his firm's approval, FINRA says.
October 20, 2020
RBC Recruits $1.2B All-Female JPMorgan TeamThe New York-based group includes three advisors, all of whom have been in the business for more than 20 years.
October 20, 2020
Commonwealth Adds Its First Chief Diversity and Inclusion OfficerScarlett Abraham Clarke joins the firm from Bright Horizons.
October 19, 2020
SEC Chief 'Cautiously Satisfied' With Reg BI but Seeing Some Troubling TrendsThe SEC chairman shared his views during an interview with SIFMA CEO Ken Bentsen at the association's virtual event.