Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Switching BDs in a Pandemic: How One Team Did It
By Jeff BermanBill Blyth told ThinkAdvisor how his Chicago-based firm navigated a move from Securities America to LPL in March.
April 06, 2020
SEC Updates Custody FAQ to Address Coronavirus ConcernsThe FAQ addresses delays in access to firm mail and not being able to maintain physical certificates with a qualified custodian.
April 06, 2020
Melissa Joy on 'Triaging' Clients' Financial Issues From HomeIn this "go time" for financial advisors, support from family, friends and colleagues makes all the difference, the CFP says.
April 02, 2020
Advicent's Financial Planning Client Portal Is Now FreeCEO Angela Pecoraro says the firm wants to help advisors serve clients and manage their businesses during the pandemic.
April 02, 2020
FINRA Bars Ex-LPL Rep Over 'Reckless Misrepresentations'The former broker signed seven loan agreements for a client without the firm's authorization, FINRA says.
April 02, 2020
SEC Won't Extend Reg BI, Form CRS Compliance DateFirms facing disruptions due to COVID-19 "should engage with us," SEC chief Jay Clayton said.
April 02, 2020
$900M Merrill Team Goes Indie With Raymond James: Recruiting RoundupMeanwhile, UBS picks up a $160 million Morgan Stanley advisor and a Merrill Lynch duo with $116 million.
April 01, 2020
Need Help Making Payroll? Forgivable Loan Program Could Help AdvisorsBut the program, part of the stimulus package, is "not simple," MarketCounsel's Brian Hamburger says.