Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Adds Chief Investment Officer to Private Client Group
By Janet LevauxThe new executive, Larry Adam, is hired from Deutsche Bank; he used to work for Alex. Brown, which is now owned by his new employer.
November 19, 2018
Stifel Welcomes 8 Former Wells Fargo AdvisorsThe advisors had a combined $1.44 billion in client assets.
November 19, 2018
Ameriprise Adds 3 Wells Fargo AdvisorsThe advisors had a combined $508 million in AUM.
November 15, 2018
Schwab Quietly Provides a Welcome Mat for Smaller AdvisorsJalina Kerr's service group is happy to serve the needs of RIAs with less than $100M in AUM.
November 15, 2018
Commonwealth Rolls Out New Financial Planning Tools With RightCapitalAdvisors can show client goals in new ways that run "the full gamut of planning from simple to advanced," according to one executive.
November 15, 2018
Cetera Adds Program Manager From LPLBrian Neyland was recognized by Bank Investment Consultant magazine as the No. 4 program manager nationwide in 2017.
November 14, 2018
LPL Picks Up $410M Reps from Wells Fargo, Cetera: Recruiting RoundupMeanwhile, Ameriprise, Hilliard Lyons, Janney Montgomery Scott and Raymond James add reps from rivals; RIA Provise Management opens a new office in Tampa.
November 14, 2018
SEC Ruling Against Southridge CCO Could Have Chilling EffectThe SEC upheld sanctions levied by the Financial Industry Regulatory Authority against a chief compliance officer.