Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
RIA Consolidation Is Officially Here
By Timothy WelshAlso, 2020 should be the first year in which the industry likely will have more independent advisors than employee advisors, says Brian Hamburger.
January 24, 2020
Don't Sleep on Reg BI Compliance, Industry Officials WarnDespite legal challenges, the obligations Reg BI imposes on financial firms "are real and immediate," says Bates Research.
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.