Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Former Wells Fargo Exec Acquires Part of $800M FiNet Team
By Janet LevauxIn other news, Focus Financial helps two partner firms complete merger deals.
October 04, 2017
The 3 Best Ways Indie Firms Can Add Female AdvisorsThe industry knows it needs to diversify, and steps being highlighted at the Ladenburg Institute of Women & Finance Symposium can help.
October 03, 2017
‘Meaningful Changes’ to CFP Standards Proposal May Come Soon: AikinThe head of the board of directors of the CFP Board said those changes could be decided at its November meeting.
October 03, 2017
Fidelity Institutional Names Durbin PresidentMichael Durbin is now in charge of clearing, custody, trading and other programs for RIAs, BDs and related institutions.
October 03, 2017
FPA, CFP Board Formalize Their CollaborationThe stronger collaboration is designed to benefit the organizations, the financial planning profession and the public.
October 02, 2017
FINRA Zeros In on Bad Brokers, Arb Transparency and New EnforcementIt's been a little over a year since Robert Cook took the helm as CEO of the Financial Industry Regulatory Authority and launched a top-to-bottom review of the self-regulator via the FINRA360 initiative.
October 02, 2017
Is the Time Ripe for the SEC to Regulate Broker/Advisor Titles?As the Securities and Exchange Commission mulls a fiduciary standard rule of its own, should the agency also tackle regulating advisor and broker titles?
October 02, 2017
LPL Financial Lays Out Plans to Add Four NPH Broker-DealersLPL Financial confirmed industry speculation by announcing that it recently bought Jackson National Life-affiliate National Planning Holdings four broker-dealers.