Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Merrill Can't Restore the Bad Old Days of Conflicts
By Nir KaissarInvestors can use robo-advisors and discount brokerages to minimize conflicted investment advice from traditional retail brokers.
August 29, 2018
Raymond James Names New ExecThe news comes two months after Scott Curtis was named head of the firm's Private Client Group, which has over 7,700 advisors.
August 28, 2018
FINRA Elects Three Governors to its BoardFSI is "pleased to see [Kovack will] spend another three years supporting the interests of our industry" and investors, said Dale Brown.
August 28, 2018
20,000 Advisors by 2022? No Problem, Says Edward JonesAccording to Katherine Mauzy, a revamped recruiting strategy focused on established advisors from competing firms is fueling growth.
August 28, 2018
5 Misconceptions About Working Within a Broker-DealerFor one thing, the name "broker-dealer" doesn't accurately describe what these firms do.
August 28, 2018
Editor's Note: Broker-Dealer InsightsWe are pleased to share these insights from the four winners of the Broker-Dealer of the Year Awards.
August 28, 2018
Tech Integration Takes Main StageAiming to relieve the key "pain points" for advisors, TD Ameritrade's Veo Open Access has become a needed balm.
August 28, 2018
Do Titles Matter? Advisors Weigh InIndustry officials and advisors discuss the SEC's plans to restrict brokers' use of "adviser" and "advisor."