Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James' Experienced Empathizer
By Janet LevauxVeteran employee advisor Shelly Church relies on her professional and personal experience to guide clients, meet their financial-planning needs and support her community.
June 29, 2017
Fidelity Redefines the Future Value Proposition for AdvisorsIt has introduced a new model for advisory firms to grow and survive the squeeze of growing competition, regulation, technology and investor demands.
June 29, 2017
SEC Investor Advocate Worries Fiduciary Rule Could Harm InvestorsRick Fleming cites conflicting standards in Section 913 of Dodd-Frank, which could complicate an SEC rulemaking.
June 29, 2017
Best & Worst BDs for Advisors: J.D. Power — 2017Satisfaction among employee and independent advisors is down, and that means lots of reps could be on the move, the research finds.
June 29, 2017
SEC Whistleblower Chief: ‘Be Careful What You Wish For’Jane Norberg defends broad anti-retaliation protections for corporate insiders as the Supreme Court agrees to weigh in.
June 28, 2017
Vote for Broker-Dealers of the Year: 2017Advisors, time's running out to let your voice be heard by the July 7 deadline.
June 28, 2017
100% Advisory Payouts & 7 Other ‘Heresies’Advisors take note: Many sacred cow profit centers being disrupted by broker-dealers promoting loss leaders to prospects.
June 28, 2017
$3.5B UBS Group Jumps to Raymond James in Hawaii: Recruiting RoundupMeanwhile, Ameriprise adds three Morgan Stanley reps; ACG Wealth taps a Fidelity exec to help grow the $1.8 billion RIA.