Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Board to Death: Is the CFP Board’s New Fiduciary Standard Really Better Than No Standard at All?
By Bob ClarkBack in 2008, the CFP Board announced that it was revising its professional standards to include a requirement that CFPs act as fiduciaries for their clients.
June 16, 2017
American Portfolios Completes TrustFort AcquisitionAmerican Portfolios announced on Friday that it has finalized its acquisition of IT firm TrustFort.
June 16, 2017
BDs Step Up Fight Against Elder Financial FraudBroker-dealers reported nearly 2,300 cases of fraud or exploitation to authorities in 2015, NASAA study finds.
June 15, 2017
Health Care Costs to Swamp Social Security COLAs: HealthView StudyHealthView Services projects that retirees health care costs will more than double projected increase in Social Security COLAs.
June 15, 2017
Will AdvisorBid Become the ‘Facebook’ of Wealth Management?The online marketplace has 1,300 active advisors with profiles.
June 13, 2017
How DOL Is Changing Sign-On Bonuses and Other Indie BD ProceduresA profitability shell game is going on, as profit centers such as ticket charge markups are sacrificed while advisory administration fees increase.
June 13, 2017
Crunch Time Part II: CFP Board’s ‘D-Day’If the CFP Board doesnt get planners on the right side of the fiduciary issue right quick, it risks marginalizing the entire profession.
June 13, 2017
RIAs Add Services Without Raising Fees: Schwab Advisor StudyIn an effort to stand out, nearly half of advisors are bowing to this kind of fee pressure, Schwab's Bernie Clark says.