Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Brokerage ‘Kickbacks’ From Exchanges Draw Scrutiny
By Janet LevauxWilliam Galvin of Massachusetts has written to Fidelity, Schwab, Morgan Stanley and others asking how they route orders to exchanges.
August 14, 2017
BMO Wealth Taps New Head of Advisor GroupWallace Harris comes on board in Chicago to lead a staff of 240 with some $12.7 billion in client assets.
August 14, 2017
Saturna Capital Launches Clean Shares for Two Funds: Portfolio ProductsAlso, Carlson Capital Management adds a low-cost DFA Minnesota muni bond fund to its portfolio lineup.
August 10, 2017
Vanguard, TD Ameritrade Cheer DOL’s Move to Delay RuleThe CFP Board, however, says the delay is unnecessary.
August 10, 2017
In a Shift, Cetera to Gather Its BDs at '18 National ConferenceNews of the plans, which will include "firm-specific" events, is being shared in a decentralized fashion.
August 08, 2017
Kestra to Buy H. Beck, Add 600 Reps & Launch RoboCEO Poer says seller Securian is not exiting the broker-dealer business and will keep ownership of another BD.
August 08, 2017
Advisors Focus on Markets and Downside Protection: FidelityThe latest Fidelity Advisor Investment Pulse also finds that advisors are far less concerned about interest rates.
August 04, 2017
Cappex.com Launches Free Multi-College Application PlatformStudents can apply to multiple participating colleges at no cost.