Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Behind the Screen: 16 Top Women in WealthTech
By Janet LevauxInvestment Advisor proudly presents its inaugural list of the most influential female financial professionals in the field of technology.
January 31, 2019
Could You Be Disrupted?Changing demographics and expectations already are challenging the traditional advisory model.
January 31, 2019
Start 2019 Right by Syncing Your Personnel ProtocolsCompliance for advisors doesn't only mean SEC issues. Indeed, several internal factors can trip up advisors, especially with personnel.
January 31, 2019
Women in WealthTech: Michelle Feinstein of BNY Mellon PershingThe Director for Technology Client Engagement shares her views on everything from what keeps her up at night to her favorite apps.
January 31, 2019
Privacy, Tax Law Among Top '19 Legislative, Regulatory PrioritiesThe partial shutdown dragged on as experts anticipated legislative and regulatory activities in the new year.
January 31, 2019
Women in WealthTech: Neesha Hathi of Charles SchwabThe Executive Vice President and Chief Digital Officer shares her views on everything from what keeps her up at night to her favorite apps.
January 31, 2019
New Leaders Take Over in WashingtonAll eyes will be on the Democrat-controlled House committees that influence policies affecting advisors and broker-dealers.
January 31, 2019
Wells Fargo Loses $1B Team: Recruiting RoundupMeanwhile, LPL Financial, Raymond James' Alex. Brown and SunTrust announced their latest recruits; and Wealth Enhancement Group moves to acquire Summit Planning Group.