Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL, in Surprise Move, Adds Blockchain Strategy to SMA Platform
By Janet LevauxThe move by the independent broker-dealer is earning it varied reviews by industry insiders Michael Kitces and Tim Welsh.
June 14, 2018
FINRA Overhauls CRD, BrokerCheck Disclosure SystemFINRA's new WebCRD interface is designed "to give more immediate responses to firms about potential red flags in their submissions."
June 14, 2018
These Easy-to-Use Technologies Can Transform Your Client Service: Bill WinterbergAt Pershing Insite, Winterberg and other tech experts discussed some service-boosting technologies and how to integrate them.
June 14, 2018
Raymond James Nabs Wells Fargo Reps With $760M: Recruiting RoundupMeanwhile, Kestra adds a team from UBS, and Lightyear-based Wealth Enhancement Group buys Cimino Wealth Advisors.
June 13, 2018
SEC Advice Plan Requires Big Change in Broker Behavior: ClaytonSEC chief responded to questions at agency's first town hall, held in Atlanta.
June 13, 2018
LPL, Massachusetts Reach Deal Tied to $26M Unregistered Securities FineOther states likely will make similar announcements regarding the return of money to investors as part of a nationwide agreement.
June 13, 2018
FSI Backs Securities America's Nagengast for Large Firm FINRA Board SeatCEO Nagengast and Shelley O'Connor, co-head of Morgan Stanley Wealth Management, are running to fill the large firm governor's seat.
June 13, 2018
Tibergien, Seivert Debate 5 Critical M&A Questions for Retiring AdvisorsAdvisors planning to retire have several important choices to make if they want to cash out and have their business continue.