Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Why Are Advisors Reluctant to Hop on the ESG Train?
By Ginger SzalaESG investing hasn't yet caught fire with the advisor community. Practical Perspectives asked why.
December 03, 2018
LPL Drops Cost of Retirement Plan PlatformTwo new recordkeepers will be added by the end of 2018 and several more next year.
December 03, 2018
Wells Fargo Loses 3 Advisors to StifelThe three new hires represent a total of $479 million in client assets.
December 03, 2018
FINRA Files to Allow BDs to Receive E-SignaturesBDs have said not being allowed to obtain e-signatures puts them at a "competitive disadvantage" to RIAs.
December 03, 2018
SEC Adopts Rule Allowing BDs to Release Research Reports on Funds, ETFsThe rule requires several conditions be met.
November 30, 2018
BlackRock-Envestnet Deal Part of a 'Broader Game'Envestnet President Crager, consultant Timothy Welsh and others talked to ThinkAdvisor about the significance of the deal.
November 30, 2018
What Advisors, BDs Should Do About Ohio National's End of Trailing CommissionsThe insurance company's decision to stop trails on variable annuities is now the target of numerous lawsuits, which could spread like wildfire through the industry.
November 29, 2018
Independent BDs Outpace All Others for GrowthA Cerulli report says independents' compound annual growth rate over the last five years "nearly doubled the four wirehouses."