Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How Advisors Can Use Tech to Serve Aging Clients: MIT AgeLab
By Bernice NapachTech-driven longevity solutions will be a key way for advisors to differentiate themselves while helping clients age more independently.
January 18, 2018
Securities America OKs Reps Texting ClientsThe independent broker-dealer is working with CellTrust, which also is partnering with Merrill Lynch.
January 18, 2018
$1.3B Group Joins Focus Financial From LPL: Recruiting RoundupMeanwhile, Raymond James' employee channel names its top complex and branch managers of 2017.
January 17, 2018
Why Are So Many Advisors Leaving Wirehouses?More and more lower-producing FAs are seeking greener pastures as comp structures change. But bigger producers are leaving, too.
January 12, 2018
JPMorgan’s Quarterly Tax Pain Should Lead to 2018 GainsBank could see earnings balloon by $3.5 billion based on cuts; trading revenue falls 26%, fueled by drop in fixed income.
January 12, 2018
FINRA Plan to Rid BDs of Advisor Liability Would Hit Firms’ Fee RevenueThe plan is a good-news, bad-news story, recruiter Jon Henschen says.
January 12, 2018
FINRA Arbitrator Pool Shows Slow, Steady Increase in DiversityFINRA has greatly stepped up its efforts to recruit more women and minorities as arbitrators in the last two years, new data shows.
January 10, 2018
Cetera Adds $700M Financial Institutions Group: Recruiting RoundupMeanwhile, Alex. Brown welcomes back advisor from RBC who has $180 million in client assets.