Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Under Pressure: The 2017 Broker-Dealer Reference Guide
By Janet Levaux, Liana RobertsFor the firms participating in Investment Advisor's annual Broker-Dealer Reference Guide, the competitive and convoluted atmosphere they face today can be perplexing.
May 25, 2017
Amy Webber — Next-Gen Nurturer: The 2017 IA 25Cambridge's new CEO credits her early start in the industry as a reason for her passion to support the next generation of independent advisors.
May 25, 2017
Raymond James Adds 2 Teams from Wells Fargo: Recruiting RoundupMeanwhile, HighTower brings on a breakaway group from Merrill Lynch in Florida.
May 24, 2017
BD Stocks Feel Bite as DOL Fiduciary Deadline NearsMeanwhile, financial analysts say Trump could bring broker-dealers, insurers and asset managers relief from some aspects of the reform package.
May 23, 2017
A 7-Point Checklist for Advisors to Protect Against CyberattacksFormer Homeland Security Secretary Michael Chertoff offers his recommendations on how financial firms can prevent or limit the impact of an attack.
May 23, 2017
Merrill to Pay Fine Over Trading, Disclosure IssuesMore than 1,000 trades were not executed to get clients the best prices, and investors didn't get compensation info on thousands of trades.
May 22, 2017
LPL Shares Details on 108 Recruited Reps, Newest Partner & Tech WoesThe IBD picked up at least $4.2 billion in assets in Q1'17; earlier this month, its IT network and backup systems went down.
May 19, 2017
College Grads Entering Best Job Market Since Great RecessionThe New York Fed says the unemployment rate for recent college graduates is under 4% and wages have been rising.