Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-Waddell & Reed Team Sues RIA for Holding Them 'Hostage'
By Jane Wollman RusoffThe team sued for fraud after the RIA failed to deliver on promises, their lawyer tells ThinkAdvisor.
December 04, 2018
Why Are Advisors Reluctant to Hop on the ESG Train?ESG investing hasn't yet caught fire with the advisor community. Practical Perspectives asked why.
December 04, 2018
Raymond James Taps New Head of Northeast Indie ChannelShannon Reid will oversee Raymond James Financial Services operations in 12 states and the District of Columbia.
December 03, 2018
LPL Buys Advisor-Focused Tech Firm AdvisoryWorld for $28MThe firm wants to help its advisors "turn prospects into clients," CIO Burt White tells ThinkAdvisor.
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.