Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
CFP Board and NAPFA Announce New Collaboration
By Bernice NapachThe collaboration deepens a long-standing relationship and can benefit both organizations and their members.
April 12, 2018
Tax Overhaul's Impact on Homeowners Varies Widely: New York FedThe impact on homeowners in high-tax states depends on incomes, property taxes, home values and mortgage terms.
April 11, 2018
Commonwealth, Securities America Add Former Invest Financial Affiliates: Recruiting RoundupKestra picks up an ex-SII Investments team; Halite Partners has appointed Ric Butler as CFO and COO.
April 11, 2018
SEC to Take Up Fiduciary Proposal on April 18The agency plans to consider a 'rule to establish a standard of conduct for broker-dealers,' according to a meeting notice.
April 11, 2018
FINRA Hires New Exam Chief From SchwabBari Havlik replaces Susan Axelrod, who's headed to Merrill.
April 10, 2018
Woodbury Buys $10B Capital One Advisory UnitThe transaction could add more than 50 advisors to Woodbury and give it nearly $50 billion in assets.
April 10, 2018
Why Advisor Independence Remains StrongSchwab offers an encouraging survey of the industry it helped to create.
April 09, 2018
Clients Rate Top Financial Services Firms in 6 CategoriesA new Hearts & Wallets report measures customer trust and loyalty, the intent to invest more and intent to recommend.