Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
A Look Inside LPL’s DOL Fiduciary Strategy
By Emily ZulzWhether the rule is enforced Jan. 1 or not, the IBD will go forward with its new compliance tools, LPL's Bill Morrissey told ThinkAdvisor.
August 01, 2017
LPL Launching Robo-Advisor This MonthThe digital platform, Guided Wealth Portfolios, already has $14 million in assets and more than 700 clients.
August 01, 2017
SIPC, FINRA to Offer Simpler BD Filing ProcessStarting Sept. 1, firms that currently file annual reports separately with SIPC and FINRA will file just once.
July 31, 2017
A Family AffairNews doesn't slow down much in the summer, especially with a new president and the start of a hotly debated regulatory regime for advisors.
July 31, 2017
BDs Address Fiduciary Rule, Growth ChallengesThere was not a slowdown in news at major broker-dealers this summer.
July 31, 2017
Behind the NumbersFinancial advisors should read the myriad of industry studies and surveys that come out each year with a grain or two of salt.
July 31, 2017
Two Ways LPL Plans to Innovate: New Mobile App, Virtual AssistantsAt its Focus conference, CEO Dan Arnold shares details about a mobile app for clients and the IBD's experiments with Uberization.
July 31, 2017
SEC Nabs 4 Former Brokers in Annuity Scam Targeting Federal WorkersBrokers conned federal employees to roll over federal Thrift Savings Plan accounts into higher-fee, variable annuity products.