Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Want to Connect Better? Try Dan Arnold's Technique
By Jon HenschenFor deeper, longer relationships with clients and colleagues, advisors should take a cue from the head of LPL Financial.
February 21, 2019
Have Fee-Based Models Won the Battle ... or the War?A Cerulli Associates study looked at fee and commission models and asked which pay structure investors preferred.
February 21, 2019
CFTC Compliance Branch Releases Its First-Ever Exam Priorities ListHere's what advisors and BDs registered as CTAs or commodity pool operators should prepare for.
February 20, 2019
HighTower Nabs $2.6B Group in Memphis: Recruiting RoundupMeanwhile, Raymond James' Alex. Brown division has added a veteran advisor from Wells Fargo with $113 million in client assets in Boston.
February 20, 2019
Moore's Exit Raises Deeper Questions at Cetera"Another storm" at the IBD group raises issues about its leadership, recruiting and retention, industry consultants say.
February 19, 2019
Cetera CEO Moore Stepping DownThe news comes about two and a half years after he was tapped to lead the IBD firm, which private-equity group Genstar Capital recently bought.
February 19, 2019
Please Harmonize With SEC Reg BI: Insurance Groups to NAICIRI is praising the SEC's approach. Three other groups told the NAIC they want a buffer against state fiduciary rule proposals.
February 15, 2019
4 Ways to Make Culture Count for Independent Advisors"Culture" is a term often thrown around today, but what does it mean, and what do firms need to do to harness it?