Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
3 Ways an Advisor Can Become a Local Celebrity
By Chris RadfordIndependent advisors can't afford to be "the best kept secret" if they want to grow and remain profitable.
October 01, 2018
LPL Launches Advisor Institute for New RepsAs part of the program, the BD subsidizes associate advisors' compensation for the first year.
October 01, 2018
FINRA Consolidates 3 BD Exam ProgramsFINRA's business conduct, financial and trading compliance exams will be consolidated "under a single framework."
October 01, 2018
Next Financial Launches New WebsiteThe independent broker-dealer, which serves more than 500 affiliated reps, also says more updates are planned.
September 27, 2018
Lack of Advisor Diversity Is 'Frustrating': Raymond James CEOThe head of the broker-dealer and the leader of its women's network break down the industry's challenges at Women's Symposium.
September 27, 2018
Cinnabon Exec's Sweet Lessons for Business GrowthAt Raymond James Women's Symposium, the head of Focus Brands explains how advisors can turn unmet needs into future success.
September 27, 2018
FINRA's New Competency Exams Start MondayFINRA is also eliminating 7 of its 16 rep-level exams.
September 27, 2018
Top 20 Fastest-Growing Financial Services Companies: Inc. 5000These companies have grown more than 1,000% since 2014.