Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Nabs $1.6B Merrill, Wells Fargo Teams: Recruiting Roundup
By Janet LevauxMeanwhile, four UBS advisors have gone independent with Dynasty Financial Partners, and a wirehouse family team joins LPL Financial.
May 22, 2019
SEC Urges Advisors to Look Beyond AMLMoney laundering isn't the only suspicious activity advisors need to watch out for, exam chief Pete Driscoll says.
May 22, 2019
Stifel Nabs 6 Reps From Wells Fargo, MerrillThe new advisors managed nearly $575 million in client assets.
May 22, 2019
Vanguard 'Building Out' Robo for AdvisorsThe firm says it is moving to give all financial advisors the ability to use its investment modeling and related technology.
May 20, 2019
Which Industry Has the Best 401(k) Plans? Advisors Make the Top 10Out of the 27 industries surveyed, financial advice and insurance brokers are near the top, Judy Diamond reports.
May 20, 2019
Advisors on ESG Investing: We Need Better Data"Advisors may be slow to recognize an important investment trend" thanks in part to an information gap, Natixis reports.
May 17, 2019
Reg BI Is Epic Moment for Brokerage Industry: FINRA's Legal ChiefWith Reg BI, the SEC is "trying to save the broker-dealer business as we know it," said FINRA's chief legal officer.
May 17, 2019
Clearing, Custody Firms Now Tied With Wirehouses for Market Share: AiteRIAs and other advisors served by outside custodians are ascendant; wirehouses are not.