Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
New Year Brings Renewed Fiduciary Battle
By Melanie WaddellThe SEC best-interest rule faces its day in court as release of Labor's fiduciary rule is imminent.
January 23, 2020
FICO Scores Poised to ChangeThe creator of the FICO score is changing its methodology starting this summer.
January 23, 2020
LPL, Raymond James Grab Wirehouse Reps: Recruiting RoundupThe rival broker-dealers pick up advisors from Wells Fargo and UBS; LPL adds eight FAs from Advisor Group.
January 22, 2020
FINRA Sends Ex-LPL Rep Back to SchoolThe broker must complete 20 hours of continuing education after violating private securities transaction rules.
January 22, 2020
Top Women in WealthTech 2020: Allison Couch Pratt of Advisor GroupAll of us, women and men, need to stop thinking of "technology" as a separate discipline or siloed "department," she said.
January 22, 2020
What's Behind the Wirehouse Headcount Drop?Recruiters discuss whether Merrill, Morgan Stanley, UBS and Wells Fargo are losing due to their own issues or to industry trends.
January 22, 2020
Top Women in WealthTech 2020: Salit Nagy-Todd of Raymond James"We need to take some personal responsibility to discuss the fact that there is room for women in tech," she said.
January 22, 2020
Top Women in WealthTech 2020: Miriam Manning of Commonwealth Financial"There has never been a better time for women to be part of WealthTech and innovation in financial services," she said.