Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Commonwealth CEO Upbeat on DOL Fiduciary, ‘RIA-zation’
By Janet LevauxWayne Bloom and other execs highlight the growth of the firms indie advisors at a national event in San Diego.
October 11, 2017
Raymond James to Grab $5B Clearing Client From PershingIt also recruited a husband-and-wife team from Merrill Lynch with some $160 million in assets.
October 10, 2017
RBC Taps New Wealth Consulting ChiefNate Angelo comes on board one week after the wealth firm tapped a new head of recruiting.
October 09, 2017
Think 7% Returns Are Coming Back Anytime Soon? Think Again.Two prominent investment strategists cautioned advisors about future gains in client portfolios at FPAs annual conference.
October 09, 2017
LPL Makes Retirement Plan Push With FAsRetirement Partners head Bill Beardsley and national sales chief Andy Kalbaugh are hoping to bring more LPL reps and ex-NPH advisors into the fold.
October 08, 2017
Top 3 Ways BDs Can Help FAs With DOL-Related Platform ShiftsBroker-dealers should help advisors with new technology, criteria for picking third-party asset managers and improved planning tools.
October 06, 2017
Jordan Belfort, the ‘Wolf of Wall Street,’ Offers (Ethical) Sales Tips for AdvisorsBelfort tells ThinkAdvisor about his Straight Line sales system and how his drug-addled past was actually worse than in the movie.
October 06, 2017
Indie BD Reps Most Likely to Outsource Model Portfolios: CerulliAdvisors making their own investment decisions increases potential liability for broker-dealers under the DOL fiduciary rule.