Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Celebrity Advisor David Bach: Get Millennials Now or Lose Business Later
By Melanie WaddellBach, the writer of "The Latte Factor," urges advisors to get in front of their millennial clients "in the next five years," or lose them.
April 23, 2019
Centerbridge May Buy Advisor Group for $2B: ReportBut a deal between the private equity firm and the independent broker-dealer group hasn't been finalized.
April 23, 2019
Why an LPL Advisor and His Virtual Admin Are CelebratingThrough a long-distance program, Rick DiStefano is working with Veronika Thruston to increase business and eliminate headaches.
April 23, 2019
NJ Fiduciary Plan 'Far Exceeds' Other Rules: LawyersEven the now-defunct Labor fiduciary rule didn't go as far, according to the Groom Law Group.
April 22, 2019
Raymond James' Saut to Retire as Chief Investment StrategistThe popular conference speaker, who was often on TV talking about the markets, has been with the firm for 20 years.
April 22, 2019
Stifel Adds $250M Merrill Team, More Reps From Wells Fargo, UBSEarlier this month, Stifel hired nine financial advisors with over $1 billion in total assets.
April 22, 2019
FINRA Reminds BDs of Business Continuity, Disaster Recovery DutiesReg Notice 19-15 consolidates FINRA's designation criteria for BDs that must have such plans without change.
April 22, 2019
What Should Advisors Do Before Going on Vacation?Here are the do's and don'ts of telling your clients you will be away.