Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Seeks BD Feedback on How Regs Affect Fintech
By Melanie WaddellFINRA wants to know how its rules could be modified to support innovation.
July 27, 2018
The Investment Center Adds New Advisors, Assets in Q2New advisors cite culture as a key reason for joining the independent BD.
July 26, 2018
FINRA Completes Enforcement Unit RevampThe reorganization is intended to "ensure a more consistent and foreseeable enforcement program."
July 25, 2018
RBC Nabs $190M Merrill Team in New Jersey: Recruiting RoundupMeanwhile, Wealth Enhancement Group says it is buying Retirement Strategies, an independent practice with about $350 million in assets based in Florida.
July 25, 2018
FINRA Board OKs E-Signature, Custodian ProposalsThe e-signature approval "reflects just how behind the times FINRA is" on technology, recruiter Jon Henschen says.
July 25, 2018
Ladenburg Thalmann Invests in Tax-Automation FirmAccording to the firm, which owns Securities America and other BDs, this move is tied to its recently launched Innovation Lab program.
July 23, 2018
'Raise Your Voice' Campaign Pushes for SEC Reg BI Changes"This [Reg BI] is just regulation gone wrong," said Sheryl Garrett, head of Garrett Financial Planning Network.
July 23, 2018
Meet Edward Jones' FA With the Most AUMJennifer Marcontell tells ThinkAdvisor about why she got into the business, door-to-door prospecting and her love of fly fishing.