Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Forms Tampa Bay Complex for Employee Reps
By Janet LevauxThe effort will be led by Doug Brigman and serve about 100 financial advisors in the area.
January 05, 2018
Ladenburg Taps Former Advisor Group Exec for New Due Diligence RoleThayer Gallison will work with Securities America, Triad Advisors, Investacorp, KMS Financial Services and Securities Service Network.
January 04, 2018
Raymond James Helps $300M Merrill Team Go Indie: Recruiting RoundupMeanwhile, a Cambridge-affiliated group taps a new CEO from Lockton and moves to double its size.
January 03, 2018
Independent Financial Group Adds $875M TeamTen advisors with $6.5 million of yearly fees and commissions join its platform from SII Investments, bought by LPL in August.
January 03, 2018
Edward Jones, Seeking Seasoned FAs, Gets a Recruiting MakeoverKatherine Mauzy tells ThinkAdvisor how the firm, now the biggest by advisor headcount, is trying to lure more established advisors, including beefing up their pay.
January 02, 2018
How Big Advisory Firms Are Adding More WomenWith women representing less than 20% of advisors and minorities just 10%, the industry has much room for improvement which some firms readily acknowledge and are working hard to address.
December 29, 2017
LPL Adds to First-Wave Onboarding ListThe broker-dealer says 71 advisor groups have joined it from National Planning Holdings broker-dealers, each with between $100 million and $499 million of assets.
December 29, 2017
Goldman Takes One-Time $5 Billion Hit From New US Tax LawCitigroup expects a hit of as much as $20 billion, while Bank of America will take a $3 billion charge.