Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Stifel Picks Up 6 Advisors With $642M
By Janet LevauxThe broker-dealer adds reps from Moors & Cabot, Morgan Stanley and Raymond James.
November 12, 2018
LPL Partners With Military to Provide Career Path for VeteransService members can be connected to a new program that matches experienced advisors with new advisors.
November 12, 2018
Rep. Waters Vows Crackdown on 'Bad Actors' as Finserv ChairWaters lays out what she'd stand for in the likely event she is confirmed as House Financial Services chair.
November 12, 2018
Raymond James Adds 12-Member $560M Team From Wells FargoGroup moves to the independent channel in Arkansas; its members have roughly 200 years of combined industry experience.
November 12, 2018
Fidelity Pushes Low-Cost Envelope (Again)It is now offering advisors Target Allocation Index-Focused Model Portfolios, with expense ratios of 0.03%-0.12%.
November 09, 2018
How Commonwealth Aims to Track the Industry 'Puck'At its yearly meeting in Austin, leaders of the indie broker-dealer describe its focus on RIAs and other efforts to boost its service level.
November 09, 2018
The New Future of the Profession: 'Longevity Advisors'Hartford's John Diehl on how advisors can help clients live better longer lives.
November 07, 2018
SEC Releases Investor Testing Report on Form CRSHere's what investors think about the proposed Customer Relationship Summary.