Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Welcomes Back $245M Team, 6 Advisors
By Janet LevauxMeanwhile, Korean-American bank in Los Angeles affiliates with Cetera BD.
November 14, 2016
Advisor Group Says Price ‘Is Right’ for CEO SlotThe IBD firm, which has some 5,000 reps, taps a former wirehouse and tech executive for the position.
November 14, 2016
Attracting the future producer: millennialsMillennial producers have different needs than their older counterparts, and they may be more willing to jump ship if they aren't happy in their career.
November 11, 2016
The Chilling Effect of an Over-Zealous FINRA's GibbetingAs FINRA puts the regulatory thumbscrews on broker-dealers, stepped-up policing trickles down to the advisor level. It's not a good development.
November 10, 2016
LPL Hosting First Stand-Alone Event for Female AdvisorsThe conference is bringing together 100 registered reps and others to focus on leadership, wellness and more.
November 09, 2016
LPL Adds $650M RIA, 18 Reps From VoyaAlso, Raymond James says it recruited a $300 million team from Merrill Lynch in New York.
November 08, 2016
Long-Time LPL Team Jumps to Securities America With $2.2BPrior to partnering with Securities America, WealthPLAN Partners worked with LPL Financial for 27 years.
November 04, 2016
Commonwealth CEO: ‘Unlimited Liability’ Led to Dropping Commission ProductsCEO Wayne Bloom lays out the IBDs response to the DOLs fiduciary stew, including maintaining payouts.