Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Avoid These Mistakes When Working With Widows
By Barbara ShapiroThe most innocuous, well-meaning comment can grate on a newly minted widow or widower.
June 08, 2017
Advisors’ Fiduciary Rule Compliance Is Fixated on the Wrong TargetBeing compliant with the rule is important, but it's not necessarily where the plaintiffs' bar will take aim.
June 07, 2017
3 Ways BDs Can Best Support Post-DOL Growth for Indie AdvisorsThe culture fostered by cultivated by broker-dealers can either drive service-based growth or hold it back.
June 06, 2017
The Future of Digital Financial Advice: Who Will Succeed?Two industry meetings in New York this week focused on the growth and evolution of robo-advisors.
June 06, 2017
RBC Wealth Taps Morgan Stanley Exec to Lead Chicago ComplexMeanwhile, it adds a $1 million Baird advisor in Oregon and a $1.4 million wirehouse rep in Texas.
June 02, 2017
What Fee Compression? Advisor Fees Show Little or No DeclineReports of fee compression among financial advisors are overblown, according to new analysis from Envestnet.
June 01, 2017
Wells Fargo Wealth Chief to RetireDavid Carroll is stepping down just as the firm reportedly tweaks its recruiting policies to add reps.
May 31, 2017
Ex-Sterne Agee Exec Admits to N.Y. Pension Fund BribesKelley pleads guilty to fraud in lavishing manager with gifts; New York state pension fund put brokerage on approved list.