Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Why Wealthfront's Latest Deal Won't Impact Advisors
By Jeff BermanBut the hybrid-robo transaction could lead to "rapid escalation" in subscription pricing battles, Michael Kitces says.
August 22, 2019
Captrust Buying $3.7B South Texas GroupThe Texas firm's founder died of cancer in April.
August 22, 2019
Morgan Stanley Names New Retirement Chief: Recruiting RoundupMeanwhile, RIA Mercer Global Advisors has bought Regent Wealth of Woodbridge, Connecticut, which works with about $300 million in client assets. With the deal, Mercer
August 21, 2019
LPL Execs Stress the Importance of Advisors Focusing on What They Do BestToo many advisors are stuck dealing with parts of the business they don't love, company says at Focus conference.
August 20, 2019
LPL Expands ClientWorks and Other Tech InitiativesThe upgrades could save advisors an hour a day, CEO Dan Arnold said.
August 19, 2019
ProEquities' Flint, M.E. Allison & Co.'s Murphy Elected to FINRA BoardFSI was "proud to endorse" Flint as large firm governor, said Dale Brown.
August 19, 2019
LPL Execs Tout Capital, Succession Planning SolutionsAt its Focus conference, company says it's developing an "end-to-end solution" to help advisors with M&As.
August 19, 2019
Cantor Fitzgerald, BMO Capital Hit by SEC for Improper Handling of ADRsThe SEC orders find that both Cantor and BMO improperly obtained pre-released ADRs indirectly from other broker-dealers.