Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Nearly 1 in 4 Advisors Switched Firms in Last 5 Years: Fidelity
By Janet LevauxMost of the movers are going to RIAs and independent broker-dealers, Fidelity finds.
April 05, 2018
Edward Jones Sued Over Alleged Fee-Based 'Churning Scheme'Four investors say the firm misled them about fees and about Jones' 'preference for investing in proprietary funds.'
April 05, 2018
Ameriprise Nabs Edward Jones Team; Janney Adds 11 Reps in Q1: Recruiting RoundupMeanwhile, Fiduciary Trust Company International says Suzanne E. Kline, CFA, has joined the firm from Wells Fargo; InCapital hires industry veteran Paul Motolla as head of Capital Markets.
April 04, 2018
Sen. Warren Presses Fed Chair Powell on Wells Fargo Remediation PlansWarrren wants Powell to commit to a Board of Governors vote on whether to accept the bank's progress.
April 03, 2018
HD Vest Nabs LPL Exec as Marketing ChiefChau Nguyen Haner, who will work closely with the firm's 4,000 affiliated advisors, had been with the rival broker-dealer since 2009.
April 03, 2018
How Advisors Use Social Media and Why They Should: PutnamThe latest Putnam Social Advisor Survey shows explains the social media imperative for advisors who want to grow their business.
March 29, 2018
Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2018Client satisfaction continues to increase across nearly all full-service broker-dealers, the latest survey finds, but improving loyalty among millennials is a significant challenge.
March 29, 2018
Lincoln Financial Aims to 'Fully Digitize' Financial Planning: ExecPresident David Berkowitz explains why the firm is updating its 2017 platform and working on a 2019 rollout that will include a robo offering.