Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Issues RMD Alert on Secure Act Changes
By Melanie WaddellThe updated investor alert explains some "tricky" new requirements, specifically if a variable annuity is held in an IRA.
February 07, 2020
Robos Are Now Everywhere, Luring Away Your Future ClientsRobos are becoming better positioned to hook clients earlier in their financial lives, researcher David Goldstone says.
February 06, 2020
FINRA's Website Experiencing Search ProblemsFINRA says of its website that it has "more work to do, and that work remains well underway."
February 06, 2020
Ameriprise Recruits a Family BD, Other Teams With $668MThe IBD Morton Seidel, in business for some 95 years, jumps to Ameriprise; meanwhile, LPL adds reps with $390 million.
February 05, 2020
How to Deal With an Aging Advisor Force and Aging ClientsA new Cerulli report lays out the challenges and how to address them.
February 04, 2020
7 Things LPL Advisors Can Expect This Year: CEO ArnoldThe head of the largest independent broker-dealer breaks down its 2019 strategies and 2020 growth plans.
February 04, 2020
3 Areas Regulators Are Targeting Now, According to LawyersReg BI enforcement, a sweep of 403(b) sales to teachers, and regs to implement the Secure Act take center stage this year.
February 03, 2020
10 TED Talks Advisors Recommend: 2020We asked some financial service leaders for their favorite TED Talks last year. Here's a selection for your viewing or listening pleasure.