Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Baird, RBC Wealth Add Advisors From Wells Fargo: Recruiting Roundup
By Janet LevauxMeanwhile, Raymond James picks up a $1.5 million team from UBS in St. Louis.
October 26, 2016
Ladenburg Thalmann Hosts Female-Advisor Event for IBDsThe women met in Salt Lake City and heard from Col. Jill Morgenthaler and other VIPs.
October 26, 2016
Errors of Commission: AUM Fees Are Better BusinessBroker-dealers' decisions to stop offering commission products in retirement accounts reopens the fees-versus-commissions debate.
October 24, 2016
TD Ameritrade, TD Bank Said Near $4B Scottrade DealDeal would combine two of the largest online brokerages; Scottrade now works with about 1,000 RIAs.
October 24, 2016
From Small to Medium: How to Manage Growth FearsIndependent firms' entrepreneurial mindset emerged in the 1980s, when the industry developed two variations on existing business models.
October 24, 2016
Why a Fiduciary Duty MattersDoes a fiduciary duty really make a difference in the quality of the advice that retail investors get?
October 24, 2016
Growing an Advisory Business in a Rapidly Changing IndustryWhile owner-advisors are aware that something is going on in their industry, most have yet to identify the real problem, so their solutions aren't working.
October 24, 2016
DOL Rule Casualty: Commonwealth Drops Commission Retirement ProductsIndie BD says the decision was challenging, though it makes less than 10% of revenue from commissions on these accounts.