Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
RBC Wealth Grabs Rival’s Top Recruiter
By Janet LevauxMichael Parker was an executive vice president and chief development officer for HighTower Advisors.
September 28, 2017
Raymond James Taps New Exec in IndianaPatrick ODonovan has led branches and other operations for Smith Barney, Morgan Stanley and other financial firms for the past 32 years.
September 28, 2017
Kovack Securities Inks Outsourcing Deal to Add 35 RepsThe strategic alliance could boost the IBDs assets to more than $10 billion.
September 27, 2017
Rep. Wagner Introduces Bill to Kill DOL Fiduciary RuleThe Protecting Access for Small Savers Act keeps fiduciary rulemaking at the SEC.
September 27, 2017
Alabama Securities Director Borg Steps Up as NASAA PresidentAs he starts his one-year term, Joseph Borg notes growing BD interest in the NASAA Model Fee Disclosure Schedule.
September 26, 2017
It’s FAFSA Time: Get Your Clients ReadyParents and students can file these forms, which are required for financial aid and PLUS loans, as soon as Oct. 1.
September 25, 2017
FINRA Hits Morgan Stanley for $13M Over UIT TradesHundreds of Morgan Stanley reps executed short-term UIT rollovers in thousands of customer accounts, FINRA found.
September 25, 2017
Envestnet | PMC Unveils Gender-Focused Impact Strategy: Portfolio ProductsIn addition, AlphaCore launched a new fund to make statistical arbitrage readily accessible to the public.