Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
What Tax-Savvy Advisors Want From Partners
By Wade WilkinsonChanges tied to the fiduciary era and tax code can give advisors multiple opportunities for growth, if the independent firms they work with take these three steps.
June 04, 2018
Raymond James Adds $505M Team From Wells FargoPlus, the firm's Financial Institutions Division picks up a $168 million group formerly affiliated with Cetera.
June 02, 2018
Advisors Have Much to Gain With Broker-Dealer ArbitrageWith the advisory space getting crowded as others flood into the same investment style, price compression is an increasing reality, making advisory cost savings increasingly important.
May 31, 2018
FINRA's Stepped-Up Broker Background Checks to Start in JulyBeginning July 9, FINRA will conduct a public records search within 15 days of an applicant's Form U4 filing.
May 31, 2018
TD Ameritrade Launches a New Hybrid Digital PlatformPersonalized Portfolios is for the HNW self-directed investor who wants guidance from a financial professional.
May 31, 2018
Triad Adds $750M Firm From LPL: Recruiting RoundupAdvisors also move to Raymond James, Kestra and Janney; meanwhile, ProEquities launches a practice management platform.
May 30, 2018
Ladenburg Thalmann Hosts Fintech Summit for Advisors, InnovatorsBy bringing entrepreneurs and advisors together, the firm hopes to speed up the development and rollout of technology at its five broker-dealers.
May 29, 2018
Broker-Dealer Reference Guide: The Full ResultsIn an increasingly competitive market, a limited number of firms - big, medium and small - remain atop the list for their best practices, ability to recruit and/or acquire more advisors, and support RIAs.