Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
CFP Board Issues Call to Action to Promote Diversity in the Profession
By Bernice NapachIts Center for Financial Planning held its first diversity summit Tuesday and released a report documenting the current lack of diversity in the profession.
October 23, 2018
Cetera Beefs Up Tech PlatformCetera Financial Group has launched the Advisor II program, an addition to its My Advice Architect technology program that provides advisors with flexibility…
October 23, 2018
Why the Workplace Gender Gap Should Matter to AdvisorsGoldman Sachs Global Markets Institute reports on the extent of the salary gap and what companies should do.
October 22, 2018
RIA M&A on Track for Another Record YearEchelon Partners and DeVoe & Co. report on Q3 deals and their outlook for 2018.
October 22, 2018
FINRA's Amended CAB Rule to Be Implemented Nov. 19The rule change reflects FinCEN's adoption of a final rule on customer due diligence.
October 22, 2018
Could Schwab Be Next With 'Free' Funds?Speculation is strong after CEO Walt Bettinger spoke about the firm's competitive strategy during its third-quarter earnings call.
October 22, 2018
Oppenheimer & Co. Taps New Leader for Private-Client UnitEd Harrington, currently head of sales and marketing for Oppenheimer Asset Management, will replace Mark Whaley.
October 22, 2018
Millionaire Investors Nervous About the Future: StudyFidelity's survey of millionaire investors shows a disconnect between current and future views of the market.