Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Rolls Out Employee Advisor Model
By Janet LevauxThe independent broker-dealer aims to offer W-2 advisors payouts of 50%-70% and access to a nationwide network of offices.
August 03, 2020
What's Next in Reg BI Compliance?Look for the SEC to release frequently asked questions guidance by year-end, attorney Valerie Mirko says.
July 31, 2020
Broadridge Starts Fi360 Remote Exams: Tech RoundupAlso, Morningstar adds a virtual reality option for upcoming online conference.
July 31, 2020
LPL, Raymond James See Strong Recruiting as Profits WeakenThese results came as the industry's overall advisor movement was "down by over 30% from a year ago," said LPL CEO Dan Arnold.
July 31, 2020
April Rudin: Pandemic Forcing Big Shift in Advice IndustryThe financial industry trends forecaster tells ThinkAdvisor what advisors should do now to capitalize on this shift.
July 31, 2020
Number of BDs Continues to Decline, FINRA Report ShowsFINRA lost 90 firms in the past year.
July 31, 2020
FINRA Issues FAQ on Virtual Business EntertainmentFor example, is it OK to provide food to clients to be eaten at a virtual gathering?
July 30, 2020
5 Ways to Turn Fledgling DIY Investors Into ClientsState Street's Kelly Ryan and advisor Brandon Oliver tell ThinkAdvisor how to capitalize on the DIY investing boom.