Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL’s New CEO Comp Could Reach $5.4 Million
By Janet LevauxDan Arnold will see his total compensation grow about three times from his president's wages.
December 27, 2016
Stellar StrategistKarin Kimbrough, head of investment strategy for Merrill Lynch Wealth Management, joined Bank of America in 2014 after working for the Federal Reserve and for Morgan Stanley.
December 27, 2016
Alex. Brown Is BackNow part of Raymond James, the 200-year-old boutique wealth firm's business could double over the next few years, its president said.
December 27, 2016
Raymond James Nabs $1.2M Merrill Rep in Michigan: Recruiting RoundupA veteran wirehouse advisor with about $110 million in client assets makes the move in the greater Detroit area.
December 22, 2016
Wirehouses Reps Move to Baird, RBC: Recruiting RoundupMeanwhile, two LPL-affiliated wealth firms with $2 billion in combined assets plan to merge.
December 22, 2016
A Conversation on Conflicts of InterestLegally requiring an advisor to act in the best interests of their clients 'does not solve the problem,' argues a reader. I respond.
December 22, 2016
FINRA Awards Rep $417,000 Over FiringA regulatory panel ruled that Southwest Securities wrongfully fired and defamed Kimberly Rose.
December 22, 2016
Department of Labor’s 2016 by the NumbersA changing administration portends a change in direction, but heres how the DOL did in 2016.