Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
First Republic, Raymond James & RBC Grab Merrill Reps: Recruiting Roundup
By Janet LevauxMeanwhile, Merrill Lynch adds a $2 million-producing advisor from Morgan Stanley.
February 01, 2017
The first three steps to improving your customer experienceTodays service and reward economy has elevated consumer expectations, and that creates a difficult challenge for most organizations.
February 01, 2017
Ameriprise Beats Estimates as Assets, Inflows RiseThe broker-dealer has 9,675 advisors with average fees and commissions of $518,000 per year.
February 01, 2017
Lori Hardwick Leaving COO Position at PershingThe No. 2 to CEO Lisa Dolly will depart this week after less than a year at the RIA custody and broker-dealer clearing firm.
February 01, 2017
Aflac executives hope to expand U.S. broker channelThe company wants its career agents to increase sales to employers with 100 or fewer lives.
January 31, 2017
Betterment Now Offers Human Advice, Restructures FeesThe largest independent robo-advisor now offers 3 services: digital, digital plus and premium.
January 30, 2017
Raymond James Unveils Robo-AdvisorThe firm says its more than 7,100 indie and employee reps will have access to the innovations by year-end.
January 30, 2017
LPL to Pay $3.7M Over Star Rep’s Unsuitable VA Sales to SeniorsState regulators make the move in connection with over $1.8 million in commissions on variable annuities made by Roger Zullo and the IBD.