Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Casady Leaving LPL at ‘Challenging Time,’ Recruiters Say
By Janet LevauxThe independent broker-dealer says President Dan Arnold will take over from Mark Casady next month.
December 01, 2016
Ameriprise Adds 10 Reps as Raymond James Brings in $780M Advisors: Recruiting RoundupBoth firms attract financial advisors from Wells Fargo and other wirehouses.
December 01, 2016
Which Robo-Advisors Are Best? To Find Out, an RIA Invests in ThemCondor Capital, a New Jersey-based RIA, invested in about a dozen robo-advisors to measure their comparable performance.
December 01, 2016
Star LPL Rep Charged With Annuities Fraud; Targeted ElderlyA client in her 80s with dementia and limited funds was sold an annuity with a seven-year surrender policy, Massachusetts regulators say.
November 30, 2016
A Trump Repeal of the DOL Fiduciary Rule? Not So FastAdvisors and broker-dealers on a Nasdaq-sponsored panel recommend that advisors not count on a repeal of the rule anytime soon.
November 30, 2016
LPL Opens New Campus in South CarolinaGov. Nikki Haley attended the event in Fort Mill, where the IBD inaugurated its second "green building."
November 30, 2016
Financial Services Explained, Pt. 3: The Levels of Independent AdviceIn this post in our series, an explanation of the different affiliation models of professional advice-givers, aka advisors.
November 29, 2016
LPL Nabs $4B Group With 135 Reps From LincolnIntegrated Financial Partners of Waltham, Massachusetts, is joining its IBD and hybrid RIA platforms.