Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Kestra Nabs Veteran Merrill Team in Ohio: Recruiting Roundup
By Janet LevauxMeanwhile, LPL-affiliated Trilogy Financial taps a board member with marketing expertise
April 12, 2018
SIFMA Announces Principles to Safeguard Customer DataThe four principles are designed to help protect the security of customer data accessed by third-party data aggregators.
April 12, 2018
Tax Overhaul's Impact on Homeowners Varies Widely: New York FedThe impact on homeowners in high-tax states depends on incomes, property taxes, home values and mortgage terms.
April 11, 2018
Commonwealth, Securities America Add Former Invest Financial Affiliates: Recruiting RoundupKestra picks up an ex-SII Investments team; Halite Partners has appointed Ric Butler as CFO and COO.
April 11, 2018
SEC to Take Up Fiduciary Proposal on April 18The agency plans to consider a 'rule to establish a standard of conduct for broker-dealers,' according to a meeting notice.
April 11, 2018
FINRA Hires New Exam Chief From SchwabBari Havlik replaces Susan Axelrod, who's headed to Merrill.
April 10, 2018
Woodbury Buys $10B Capital One Advisory UnitThe transaction could add more than 50 advisors to Woodbury and give it nearly $50 billion in assets.
April 10, 2018
Why Advisor Independence Remains StrongSchwab offers an encouraging survey of the industry it helped to create.