Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Releases Exam Priorities for 2018
By Melanie WaddellThe regulator also discusses upcoming changes to its exam program and reminds firms of some important dates.
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.
December 29, 2017
A Top UBS Advisor Looks Ahead to 2018Barron's top advisor Jonathan Murray and UBS senior lobbyist John Savercool talk to ThinkAdvisor about post-tax reform investment opportunities and the regulatory landscape.
December 28, 2017
Raymond James Adds $555M Wirehouse Reps in WestThe advisors moved from Merrill Lynch and Morgan Stanley; they come on board in Hawaii, California and Texas.