Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
‘No Fee Compression on Our Advisors’: Raymond James CEO
By Janet LevauxPaul Reilly discusses retention, recruiting efforts and compliance issues during the yearly indie advisor event.
April 27, 2017
Tax Cuts to Happen in ’17, but Not Reforms: Andy FriedmanAlso at the Raymond James conference, CEO Paul Reilly says cuts could benefit some advisors doing business as S Corps and LLCs.
April 26, 2017
HighTower Adds $500M Group From UBS, Merrill: Recruiting RoundupRBC gets all-female UBS team, LPL attracts hybrid group, Cetera shares board news, and Wells Fargo promotes execs.
April 26, 2017
5 Compliance Approaches That Chase Away Advisor TalentCompliance departments often treat well-established advisors with good compliance records like teenagers.
April 26, 2017
‘No Evidence’ DOL Rule Is Hurting Recruiting: Raymond JamesThough Morgan Stanley says the fiduciary standard is slowing advisor movement, the independent advisor group begs to differ.
April 26, 2017
3 Trends Advisors Need to WatchAuthor and former presidential advisor Pippa Malmgren lays out what's happening in the global economy at Raymond James' national event.
April 25, 2017
Schwab Makes New Ad Push as Assets Near $3 TrillionThe new commercials focus on how indie advisors working with the firm serve high-net-worth investors.
April 25, 2017
Ameriprise to Buy $8B Broker-Dealer With 200 Reps, Tops Earnings EstimatesThe firm is picking up a group with about 200 advisors who serve banks and credit unions.