Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Kestra Taps New President at H. Beck
By Janet LevauxMichelle Barry, formerly of Penn Mutual, also has worked for The Advisor Group, Salomon Smith Barney and Ameritas Life.
December 14, 2017
Raymond James Recruits Wirehouse Reps With $1.75BThe 11 financial advisors join its employee, independent and Alex. Brown units from UBS, Merrill Lynch and Morgan Stanley.
December 12, 2017
SIFMA Sees SEC Fiduciary Rule Proposal Within 18 MonthsThe lobbying group takes SEC Chairman Jay Clayton "at his word" that the rule is a top priority, CEO Ken Bentsen says.
December 08, 2017
FINRA Seeks to Revamp Expungement ProcessFINRA said that it's discussing with NASAA "more extensive changes" to the process.
December 06, 2017
Triad Advisors Adds $900M Group: Recruiting RoundupMeanwhile, Woodbury and Ameriprise Financial share news on their latest hires.
December 06, 2017
FINRA Releases First Exam Findings ReportHere are the top four problem areas FINRA considers worth highlighting.
December 06, 2017
2 Advisor Groups With LPL Ties MergeWealth Enhancement Group has some $7.5 billion in client assets; the move boosts its presence in Florida.
December 06, 2017
‘Phase 2’ of DOL Rule Is Dead: Brian HamburgerAt the MarketCounsel Summit, Hamburger also said the Protocol for Broker Recruiting was "unraveling."