Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Clarifies When Use of 'Advisor' Violates Reg BI
By Melanie WaddellThe SEC recently updated its Reg BI FAQ guidance.
April 27, 2020
Wirehouses, IBDs Share Updates on Comp Policies, Services & Exec HiresWall Street and Main Street broker-dealers are moving in different directions in response to the coronavirus pandemic and their own strategic plans.
April 25, 2020
Merger to Create Biggest Firm on LPL's RIA PlatformFinancial Resources Group and Gladstone Wealth Group are combining their 670 advisors and $24 billion in assets.
April 24, 2020
Raymond James' Tash Elwyn Is Cooking His Way Through Lockdown, for CharityThe executive tells ThinkAdvisor how his family baked 44 pizzas and smoked 99 pounds of pork to benefit a free clinic.
April 24, 2020
FINRA Is on a Hiring SpreeFINRA's new virtual onboarding initiative, "FINRA in a Box," was launched in March to get new workers set up at home.
April 24, 2020
FINRA Wants IAR Info to Be Available on BrokerCheckThe SEC's investment advisor database recently added BrokerCheck info.
April 23, 2020
Wells Fargo Nabs Merrill, Morgan Stanley, UBS Reps; Loses Team to RBC: Recruiting RoundupBut Wells' employee channel lost a $688 million team to RBC in Wisconsin.
April 22, 2020
The 2020 IA25: Amy WebberThe President and CEO of Cambridge Investment Research shares advice on serving clients during the COVID-19 pandemic.