Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James, LPL Nab Wells Fargo Reps: Recruiting Roundup
By Janet LevauxMeanwhile, Ameriprise Financial brings on an advisor from Morgan Stanley, and Securities Service Network adds Retirement Planning Group (RPG), which formerly worked with Ameritas Investment Corporation.
February 04, 2019
Amplify ETFs Launches International Online Retail ETF: Portfolio ProductsAlso, RBC GAM announced fee reductions and a new share class for the Access Capital Community Investment Fund.
February 01, 2019
IFP Gets Thumbs-Up to Launch BDThe breakaway RIA hope to move over 500 advisors to the platform it is building with Pershing from LPL Financial.
February 01, 2019
Stock Exchanges Fire CAT Contractor After DelaysFINRA is said to be taking control of the Consolidated Audit Trail project.
February 01, 2019
Arnold Lays Out 'Large Agenda' for LPL's Service ModelQ4 revenue missed expectations and affiliated advisor headcount dropped from Q3, but CEO Dan Arnold says the firm has a plan.
February 01, 2019
AI Will Transform Surveillance Programs – EventuallyFINRA is in the early stages of using these technologies for surveillance; most firms haven't started.
January 31, 2019
LPL Rolls Out AdvisoryWorld Proposal Tool"We see this as a blowout, not just a touchdown," said LPL's Burt White.
January 31, 2019
Women in WealthTech: Cynthia Jane Buckler of Wells FargoThe Chief Information Officer/Executive Vice President of Wealth and Investment Management Technology shares her views on everything from what keeps her up at night to her favorite apps.