Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Adds $170M Morgan Stanley Duo, Shares Financial Update
By Janet LevauxThe firm boosted assets, fees and commissions in August and in September had "elevated expenses" tied to Hurricane Irma.
September 20, 2017
Regulators Charge SII With ‘Unethical’ Conduct Tied to REIT SalesAdvisors' commissions on the sales topped $278,000, according to Massachusetts securities regulator William Galvin.
September 18, 2017
Cetera Taps Ex-AFLAC Marketer as CMOIt also brings back a large financial-institutions client with $507 million in brokerage assets.
September 15, 2017
Fiduciary Rule Delay to Cost Investors $11 Billion: Economic Policy InstituteEPI is just one of many consumer groups opposing the rule's 18-month delay until July 2019.
September 15, 2017
The 2017 Broker-Dealers of the Year Get Real on TechThe broker-dealer leaders discuss which technology systems they can do without.
September 14, 2017
Focus Financial Adds $1.5B RIA in North Carolina: Recruiting RoundupKestra, Dynasty, Securities America, FiNet, Janney, Mercer and RBC announce new advisors and teams.
September 14, 2017
Raymond James Nearly Back to ‘Normal’ After IrmaThe Florida-based firm, which shifted resources out of the area due to Hurricane Irma, pledges to support associates affected by the storm.
September 13, 2017
Fidelity Launches Robo Platform for AdvisorsThe Automated Management Platform allows advisors to seamlessly manage digital accounts alongside more traditional accounts, Fidelity says.