Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Rep. Waters Vows Crackdown on 'Bad Actors' as Finserv Chair
By Melanie WaddellWaters lays out what she'd stand for in the likely event she is confirmed as House Financial Services chair.
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.
November 07, 2018
RBC, Ameriprise Add Merrill Teams: Recruiting RoundupThe new advisor groups come on board in Florida and Kentucky; they have a total of $330 million in client assets.
November 07, 2018
3 Ways Indie Advisors Can Survive a Shrinking IndustryWhen broker-dealers get bought out or merge, independent advisors must move fast and make some critical decisions.
November 06, 2018
Drug Companies Make Lobbying Push to Roll Back Seniors' DiscountsPhRMA has spent about $20 million on lobbying in Washington so far this year.
November 06, 2018
LPL Adds Teams From Cetera, ForestersThe two teams had a combined $475 million in AUM.