Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Baird Taps New Wealth Exec
By Janet LevauxIn her new role, Laura Thurow will lead staff, platforms and back-office support for the firm's 850 financial advisors.
August 02, 2018
SEC Reg BI Stricter Than Fiduciary, Will Cause Brokers to Flee: PeirceThe push for fiduciary standards for all "will have the perverse effect of harming investors," Commissioner Hester Peirce says.
August 02, 2018
$550M Wells Fargo Group Moves to Raymond James: Recruiting RoundupPlus, Dynasty Financial Partners helps Michael Henley and several other Merrill Lynch advisors go independent.
August 01, 2018
FSI Backs Kovack Securities Co-Founder for FINRA Board SeatIf elected, Brian Kovack would be serving a second term as midsize firm governor.
August 01, 2018
The Do's and Don'ts of Selling New Comp PlansWhen rolling out a new compensation plan, the first rule is to not release it before its time; otherwise, you are asking for trouble — often big trouble.
August 01, 2018
Fidelity Unleashes No-Fee Index FundsTwo funds will have no expenses or minimums, and 21 other funds will have no minimums and one low fee for retail and institutional investors.
July 31, 2018
3 Ways SEC Reg BI Could Confuse Investors: ReishBDs and RIAs will be subject to best-interest standards that sound the same but aren't, attorney Fred Reish says.
July 30, 2018
Best & Worst Firms for Advisors: J.D. PowerPlus, Raymond James and Commonwealth Financial announce executive promotions.