Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schwab Shows RIAs How to Stand Out
By Bob ClarkThe many shades of independence can create confusion in the minds of investors, but a new ad campaign aims to resolve this.
October 19, 2017
Securities America Adds $1.35B Group From LPL: Recruiting RoundupPlus, Woodbury Financial, Ameriprise, LPL, Raymond James and Janney share details on their newest recruits.
October 19, 2017
RIA M&As on a 5-Year Growth Tear: Echelon ReportPlus, the average asset level of breakaway reps is up to $300 million, according to the investment bank.
October 18, 2017
Private Equity Firm Lovell Minnick Is Buying $20B Tortoise InvestmentsThe purchase of the asset manager is expected to close in the first quarter of 2018.
October 18, 2017
LPL Grabs Longtime Wells Fargo Exec to Be Chief StrategistJohn Lynch was with Wells Fargo since 1996 and is now based in Charlotte, N.C.
October 17, 2017
Women Invest Like Men but With a Key Difference, Study FindsCapital Groups survey of women shows confidence in their investment decisions but not necessarily the power to execute.
October 17, 2017
Commonwealth Nabs $1.3B NPC TeamThe group comes on board in New York and is led by Michael and Stuart Paris.
October 16, 2017
FINRA Data Shows 15-Year Decline in BDsFINRA just published 15 years of data on the number of broker-dealer reps entering and leaving the industry and of the decline in member firms.