Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
13 Best & Worst Broker-Dealers: Q1 Earnings, 2017
By Janet LevauxThe first three months of the year have seen strong markets and corporate earnings that beat analysts' estimates.
May 29, 2017
Destination Unknown: The 2017 Broker-Dealer Presidents PollDespite the complexity and ambiguity of Labor's fiduciary rule, broker-dealer leaders remain cautiously upbeat.
May 29, 2017
Under Pressure: The 2017 Broker-Dealer Reference GuideFor the firms participating in Investment Advisor's annual Broker-Dealer Reference Guide, the competitive and convoluted atmosphere they face today can be perplexing.
May 29, 2017
As Indie BDs Dwindle, Is FINRA Outdated?Brad Bennett, former head of FINRA enforcement, said that some brokers are becoming investment advisors to minimize their regulatory burden.
May 25, 2017
Amy Webber — Next-Gen Nurturer: The 2017 IA 25Cambridge's new CEO credits her early start in the industry as a reason for her passion to support the next generation of independent advisors.
May 25, 2017
Raymond James Adds 2 Teams from Wells Fargo: Recruiting RoundupMeanwhile, HighTower brings on a breakaway group from Merrill Lynch in Florida.
May 24, 2017
BD Stocks Feel Bite as DOL Fiduciary Deadline NearsMeanwhile, financial analysts say Trump could bring broker-dealers, insurers and asset managers relief from some aspects of the reform package.
May 23, 2017
A 7-Point Checklist for Advisors to Protect Against CyberattacksFormer Homeland Security Secretary Michael Chertoff offers his recommendations on how financial firms can prevent or limit the impact of an attack.