Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
3 Top Succession Strategies for Advisors: Which One's Right for You?
By Robert GoffThe first step in developing a succession plan is choosing a strategy that fits your practice and time horizon.
September 07, 2018
Galvin Busts NPH Affiliate for Improper REIT SalesSII Investments allowed agents to miscalculate customers' liquid net worth to sell them products, the Massachusetts regulator said.
September 06, 2018
CE Council Requests Comments on Program ChangesFINRA supports exploring whether individuals who step away from the industry can maintain their qualifications through continuing education.
September 06, 2018
Schwab's Tech Pivot Is All the Buzz, but …Does the move away from a multi-custodial, cloud-based portfolio tool mean the firm is "throwing in the towel?"
September 06, 2018
Ladenburg Adds Kestler Annuity BusinessThe group being bought has selling agreements with over 20 independent broker-dealers, RIAs and other firms.
September 05, 2018
RBC Wealth Adds $425M Duo From Merrill: Recruiting RoundupMeanwhile, a member of Dynasty Financial Partners' network recruits a rep from Wells Fargo Advisors; Ameriprise pulls in advisors from AXA and Oppenheimer.
September 05, 2018
Apex Clearing to Offer CryptocurrenciesCEO Bill Capuzzi cited client demand and a desire to target millennials.
September 05, 2018
Investing View From the Advisory Frontlines: A Talk With Advisors, Part IIIn part 2 of this episode we talk with Charles Adi of Blueprint360.