Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
‘No Evidence’ DOL Rule Is Hurting Recruiting: Raymond James
By Janet LevauxThough Morgan Stanley says the fiduciary standard is slowing advisor movement, the independent advisor group begs to differ.
April 25, 2017
Raymond James’ National Event to Highlight DOL Fiduciary, Politics & MarketsThe yearly conference for its independent advisors takes place this week in Orlando.
April 21, 2017
SEC Says New York Advisors Falsified AUM to Entice Investors: EnforcementIn other enforcement actions, the SEC charged an oil and gas promoter with misappropriating investor funds.
April 20, 2017
Raymond James to Buy $27B Asset ManagersScout Investments and Reams will join Carillon Tower Advisers, which recently expanded its sales and distribution team.
April 19, 2017
Why Individual Investors Support Fiduciary Rule: Financial Engines SurveyA survey from the nation's biggest 401(k) advisor found that 93% of Americans want advisors working on retirement accounts to put client interests first.
April 19, 2017
Focus Financial to Sell Big Stakes to KKR, Stone PointThe RIA aggregator says it now has some 45 partner firms and is valued at $2 billion.
April 18, 2017
Raymond James’ Semi-Indie Channel Grabs $700M Team From Wells FargoA team of four advisors leaves Wells Profit-Formula Group to join Advisor Select in Huntsville, Alabama.
April 13, 2017
Merrill Lynch Adds Duo From Wells Fargo Private Bank: Recruiting RoundupMeanwhile, the $600 million investment arm of Prosperity Bank affiliates with Raymond James Institutions unit.