Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Grabs Morgan Stanley Complex Chief in Florida
By Janet LevauxThe news comes just a month after the BD hired veteran wirehouse branch executive Bill Drew to run its new Southern New England Complex.
March 26, 2019
Process Inefficiencies May Be Hurting Your BusinessProcesses that work well with a few employees may need updating when your headcount grows.
March 26, 2019
FINRA May Nix Suitability Rule Due to Reg BI OverlapIf the regulator keeps the rule, it will likely make changes to avoid inconsistencies, Chief Legal Officer Robert Colby said.
March 26, 2019
The Growth DilemmaOrganic growth for most advisory firms is disappointingly low — why?
March 26, 2019
Wells Fargo Launch; Kestra Finds Buyer; Moore Leaves Cetera: BD RoundupThe wirehouse says its new program is a "category killer." Meanwhile, one independent broker-dealer wins the backing of a private equity group, and another loses its CEO.
March 26, 2019
Advisor Exam Rate May Fall in 2019, Says SEC; New Services Planned for Emerging FirmsPlus, Dynasty Financial Partners shares details about its new headquarters, and Raymond James hires a new executive for its Investment Advisors Division.
March 26, 2019
Tech Execs Warn of 'Consumer-ification of Wealth Business'Advisors must boost adoption of digi tools to stay relevant, say Black Diamond execs Eli George and Bjorn Widerstedt; meanwhile, TD Ameritrade Institutional tech guru Dani Fava urges advisors to watch and read more sci-fi.
March 26, 2019
Don't Let Your Cybersecurity Policy SlipThe SEC has been clear on what it expects from advisors on data protection. Are you up to speed?