Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
15 Firms, Including 3 Super OSJs, Join FSI
By Janet LevauxOne of the new member firms is affiliated with LPL Financial, which is not part of the industry group itself.
September 29, 2016
Recruiting Roundup: Wells Fargo, Merrill Nab Morgan Stanley RepsMeanwhile Deutsche Bank Wealth Management and MV Financial share news on their latest hires.
September 28, 2016
DOL Fiduciary Has Many Advisors Mulling Career Change: Fidelity SurveyWhile 29% of advisors see a positive impact from the DOL rule, 28% are considering retirement or a career change.
September 28, 2016
Nationwide Says DOL Rule Behind Jefferson National DealNationwide said it struck a deal to buy the Louisville-based Jefferson National, a firm with about $4.7 billion in client assets.
September 27, 2016
Securities America Buys $2B Advisor Group, Wraps Up 9th DealThe IBD is adding some 67 advisors who produce $11 million in yearly revenue near Rochester, New York.
September 27, 2016
Advisors, It Pays to Thank Clients — Consistently: Janus LabsThose who express gratitude regularly and systematically have significantly higher AUM than those who do not, Janus finds.
September 27, 2016
Fiduciary rule could spur innovationIRI Vision 2016 panelists: The DOL rule has struck fear in the hearts of many within the industry. But could the regulation actually spur positive innovations?
September 27, 2016
Fiduciary rule could spur innovationIRI Vision 2016 panelists: The DOL rule has struck fear in the hearts of many within the industry. But could the regulation actually spur positive innovations?