Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fidelity Launches Model Portfolios for Advisors
By Bernice NapachFidelity Model Portfolios debuts with five different portfolios consisting of 7 to 12 Fidelity funds, based on risk tolerance.
July 11, 2018
How the CFP Board Is Advancing the ProfessionIt's time to educate CFP professionals, their firms and the public on the new Code and Standards.
July 11, 2018
3 Ways to Protect Yourself When Joining an Advisor TeamTeaming can boost performance, but a partnership gone bad can be a career-ending calamity without the proper protections.
July 10, 2018
Schwab to Pay SEC $2.8M for Failing to File SARsThe SEC is using a "novel legal theory" to get big brokers and custodians to police their platform users, Cipperman says.
July 10, 2018
Carson Group Adds $613M From New Partners in Q2It also says it could bring on another $3.6 billion in assets by year-end, pushing its AUM to $9 billion.
July 09, 2018
LPL Nabs Merrill Advisor, Author in Silicon ValleyThe development follows the recruiting of both a wirehouse team in New York and a former wirehouse recruiting executive.
July 06, 2018
Argent Financial to Add AmeriTrust CompaniesThe merger should put Argent's total client assets at $19 billion and its number of professionals at over 270 in the South.
July 05, 2018
FINRA to Take Over Review of Public Records for Broker HiresBeginning July 9, FINRA will verify information provided by candidates for brokerage or investment advisor jobs, saving BDs time and money.