Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Bigger M&A Deals Kicked Off 2018: Fidelity
By Emily ZulzFidelity examines M&A activity among RIAs and independent broker-dealers.
February 16, 2018
KMS Financial Taps Cetera Advisors’ Exec as PresidentErinn Ford will replace Tracy Forsythe, who is retiring; the independent broker-dealer works with about 350 reps.
February 15, 2018
Who Joined LPL in Q4?The independent broker-dealer picked up plenty of reps from Cetera, Edward Jones, Wells Fargo and Merrill Lynch.
February 15, 2018
Scottrade Charged Under DOL Fiduciary Rule in MassachusettsThe charge, involving sales contests, appears to be the first state-level action involving the Labor rule.
February 14, 2018
Securities America Picks Up Two Groups With $3.5BThe new affiliates, each of which has more than 30 advisors, formerly worked with NPH broker-dealers.
February 14, 2018
FINRA Seeks Tougher Rules on Brokers Switching Firms With Unpaid Arb ClaimsProposed changes would allow FINRA to presumptively deny a new applicant subject to pending arbitration claims
February 14, 2018
Sweetheart Scams & Retirees: What Advisors Need to KnowMichael Bruemmer of Experian talks to ThinkAdvisor about these shockingly common scams, which most frequently target retirees.
February 13, 2018
Cetera Announces Reorg, Taps New LeadersCetera Financial Group says it is reorganizing its businesses into two channels.