Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Florida Advisor Takes Investor Protection Fight to the State Level
By Bob ClarkSeeing little action in Washington, Michael Zmistowski mobilized his state's FPA chapters.
February 26, 2018
What Is Going on With Cetera?The network of independent broker-dealers is hiring Goldman Sachs to review its capital structure, which could lead to many possible outcomes.
February 26, 2018
LPL Wraps Up NPH Deal, Adds Second Wave of RepsLPL executives have said that some 2,000 NPH reps and $75 billion in client assets are moving to its platform.
February 26, 2018
FSI Backs DOL's Association Health Plan ProposalThe independent advisor trade group could offer health insurance to members if Labor expands access to association health plans.
February 23, 2018
How Scottrade Could Have Avoided DOL Rule ChargesScottrade made a bet that the Impartial Conduct Standard wouldn't be enforced. It lost. But, for now, there's another way firms can keep sales incentives.
February 22, 2018
3 Types of Cyberattacks and How to Avoid Them: FINRA ConferenceOne key reminder: Many attacks are due to human error.
February 22, 2018
Size of RIA Deals Up 45% in 2017: FidelityAccelerating consolidation is expected this year, industry watchers say.
February 21, 2018
Janney Nabs $220M Merrill Advisor: Recruiting RoundupMeanwhile, an H.D. Vest affiliate, the Carson Wealth Group and R.M. Davis announce new financial advisors and investors.