Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisor to Pro Athletes Shares the Secret to His Success
By Melanie WaddellEszylfie Taylor tells ThinkAdvisor about working with celebrity clients, developing an app and "prospecting up."
July 27, 2018
How Advisors Can Negotiate a Better Recruiting DealThe best negotiators believe both sides should win. Here's a guide on how to be smart when negotiating with a new broker-dealer.
July 27, 2018
Raymond James' Recruiting Push Is 'Firing on All Cylinders': ExecIn explaining its lower profits, the firm says it has made "great investments" for the long term tied to new recruits.
July 27, 2018
The Investment Center Adds New Advisors, Assets in Q2New advisors cite culture as a key reason for joining the independent BD.
July 26, 2018
FINRA Completes Enforcement Unit RevampThe reorganization is intended to "ensure a more consistent and foreseeable enforcement program."
July 25, 2018
RBC Nabs $190M Merrill Team in New Jersey: Recruiting RoundupMeanwhile, Wealth Enhancement Group says it is buying Retirement Strategies, an independent practice with about $350 million in assets based in Florida.
July 25, 2018
FINRA Board OKs E-Signature, Custodian ProposalsThe e-signature approval "reflects just how behind the times FINRA is" on technology, recruiter Jon Henschen says.
July 25, 2018
Ladenburg Thalmann Invests in Tax-Automation FirmAccording to the firm, which owns Securities America and other BDs, this move is tied to its recently launched Innovation Lab program.