Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Broker Protocol Exodus Could Cause Breakaway ‘Spike’ in Next Few Months: DeVoe
By Emily ZulzThe new tax law, on the other hand, is unlikely to have much effect on RIA M&A trends, DeVoe says.
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.
January 09, 2018
Raymond James Forms Tampa Bay Complex for Employee RepsThe effort will be led by Doug Brigman and serve about 100 financial advisors in the area.