Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Credit Suisse Is Splitting Its Main Wealth Unit Into 7 Regions
By Jan-Henrik Förster and Patrick WintersThe bank is said to be giving more autonomy to regions; announcement on split could come this week.
August 09, 2018
Number of BDs, Reps Drops for Second Straight Year, New FINRA Report SaysSmall BDs "struggle with keeping up with burdensome FINRA requirements," recruiter Jon Henschen said.
August 09, 2018
Woodbury Adds 2 Teams With $378M in Assets: Recruiting RoundupRaymond James brings on a father-son team from Stifel with roughly $141 million.
August 08, 2018
Indie BDs Warn SEC of Major Flaw in Conduct RulesThe regulator is repeating mistakes the Labor Department made with its fiduciary rule, a BD group says.
August 07, 2018
What 8 Industry Leaders Think of SEC's Advice StandardsHere's what Michael Kitces, Barbara Roper, Ken Fisher and others commented to the SEC about the proposal.
August 07, 2018
Culture, Not Regulation, Is the Key to Clients' Best InterestThe path forward for the industry must blend a legal best-interest standard with a culture that empowers investors.
August 06, 2018
Baird Taps New Wealth ExecIn her new role, Laura Thurow will lead staff, platforms and back-office support for the firm's 850 financial advisors.
August 06, 2018
'O' No! Ken Fisher Tells SEC to Ban Use of 'Advisor'Brokers have created investor confusion by using "advisor" to skirt the ban on using "adviser," Fisher says.