Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Wrestling With Subscription Model
By Janet LevauxCEO Paul Reilly says that robo-advice "is table stakes" and ponders how the firm could raise its game.
July 11, 2019
Raymond James Nabs $600M Advisor in HoustonDavid Ahlquist, who spent the past 14 years with TIAA Financial Services, moves to the firm's employee channel.
July 10, 2019
Janney Picks Up 27 Wirehouse Reps: Recruiting RoundupThe advisors joined over the past six months from Merrill, Wells Fargo and Morgan Stanley; plus, a $215 million team has left Morgan Stanley to form its own RIA.
July 09, 2019
Best & Worst BDs for Advisors: J.D. Power — 2019Average advisor satisfaction scores rose, but firms have plenty of room for improvement on the tech front.
July 09, 2019
Reg BI Didn't Need a 'Best Interest' Definition: SEC Chief ClaytonConsumer advocate Barbara Roper says Jay Clayton is making "straw man arguments."
July 08, 2019
LPL Adds Data Exec From OppenheimerFundsAshish Braganza is the BD's executive vice president of Data, Analytics and Innovation and reports to Burt White.
July 08, 2019
The Long, Uncertain Road to Implement Reg BIA lot could happen before the best-interest standard is due to take effect on June 30, 2020.
July 03, 2019
LPL Grabs $1.1B Raymond James Team: Recruiting RoundupMeanwhile, Carson Partners, part of Ron Carson-led Carson Wealth, has added two firms with a total of nearly $200 million in client assets.