Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The IA25 Winners of 2019
By Janet Levaux | Ginger Szala | Melanie WaddellSelected by readers, this year's list of "must follow" leaders and influencers highlights VIPs who are ahead of the pack.
April 25, 2019
Raymond James Names Private Client COO, Boosts ProfitsThe PCG reported higher profits and net revenues of $1.27 billion for the quarter ending March 31.
April 25, 2019
SEC Extends BDs' Compliance Deadline With Amended Reg NMSBroker-dealers told the agency they need more time beyond the May 20 deadline.
April 25, 2019
Here's How FINRA Spent Its 2018 Fine MoneyThe BD self-regulator shares for the second year projects supported by sanctions.
April 25, 2019
Janney, RBC Wealth Add Reps From Rivals: Recruiting RoundupPlus, Securities America and CUSO Financial recruit groups with $200 million and $603 million, respectively.
April 24, 2019
Ladenburg Hires Former Cetera, Advisor Group ExecDavid Ballard will now support Securities America, Triad Advisors, Investacorp, Securities Service Network and KMS Financial Services.
April 24, 2019
FINRA Launches New Fintech OfficeFINRA's Cook said that innovation poses new challenges for their members, and "it is essential that we as regulators keep pace."
April 24, 2019
Fidelity Expands Its Digital Store for AdvisorsThe Wealthscape Integration Xchange now includes tools from Addepar and Wealthbox.