Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ken Fisher Busts Investing Myths; Tells Advisors to Seek 'Uncomfort Zone'
By Jane Wollman RusoffIn a wide-ranging interview, the legendary investor talks to ThinkAdvisor about advisors' biggest "dilemmas."
May 02, 2019
Uncertainty on Advisor Conduct Rules Raises Costs, Hurts Investors: SEC ChiefJay Clayton tells a fund industry group why the SEC's rulemaking on advice standards is so important to him.
May 01, 2019
RBC, Raymond James and Stifel Nab UBS Reps: Recruiting RoundupThe advisors, some of whom have 30 or more years of industry experience, manage a total of $806 million of client assets.
May 01, 2019
Kestra Adds to Platform, Speeds Up Onboarding ProcessIncreased cybersecurity prowess and a faster platform are part of new technology enhancements.
May 01, 2019
DOL to Issue New Rules on Fiduciary Duties: AcostaLabor will issue rules based on its collaboration with the SEC, Acosta told lawmakers Wednesday.
April 30, 2019
Spring Brings M&As, Recruiting and Leadership Changes at IBDs, WirehousesSeveral firms recently announced significant deals and executive appointments — or, in one case, it's launched a very high-profile search.
April 29, 2019
2019 IA25 Custody and Clearing WinnersHere are this year's top vote getters in the custody and clearing field.
April 29, 2019
2019 IA25 Independent Broker-Dealer WinnersHere are this year's top vote getters in the independent broker-dealer field.