Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Indie BD Exec Wins Seat on FINRA Board
By Janet LevauxSecurities America CEO Jim Nagengast, who had the support of the Financial Services Institute, received more votes than Shelley O'Connor, managing director and co-head of Morgan Stanley Wealth Management.
June 27, 2018
Commonwealth Financial Says President, COO Hunter to DepartCFO Trap Kloman will take on these roles; Kloman joined the RIA in 2015, while Hunter has been with it for some three decades.
June 27, 2018
SEC Advice Proposals Take Center StageSEC chief Clayton lays out how brokers' behavior will change for investors while industry officials debate "fiduciary" status of Reg BI.
June 27, 2018
FINRA Revs Up CRD, BrokerCheck OverhaulThe BD regulator's heightened review of brokers' backgrounds kicks in this month.
June 27, 2018
Behind the Scenes at the Asset Manager of the Year AwardsWho won the Asset Managers of the Year coverage and more.
June 27, 2018
Trends, Tech in Focus at Pershing InsiteMeanwhile, Dynasty Financial rolls out an enterprise group to help partner firms with $1 billion-plus in client assets.
June 27, 2018
ETFs Are Millennials' Product of Choice: SchwabIn its annual study, Schwab once again saw interest rise with ETFs, especially among younger investors.
June 27, 2018
LPL's Managerial Ranks Seem Like a 'Revolving Door,' Consultant SaysIndustry watchers weigh in on what Bill Morrissey's departure says about the IBD and its challenges.