Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
TD Bank Names New Sales Chief for Wealth Group
By Janet LevauxJim Nesci joins the the firm from Provident Bank; he has more than 25 years in the industry.
May 03, 2017
Raymond James Taps Popular UBS Exec for Private Client PostAfter Raymond James announced that Kim Jenson would be COO of the group, coming from UBS, fan mail poured in, group head Tash Elwyn said.
May 02, 2017
Senate Confirms Jay Clayton as SEC ChairmanGroups press Clayton to prioritize uniform fiduciary rule for brokers and advisors.
May 01, 2017
The 2017 IA 25 Readers’ ChoiceThis year, we asked readers to weigh in on the most influential people in the advisory industry.
May 01, 2017
Frontrunners: The 2017 IA 25Whatever is happening in the markets or in Washington, there will always be thought leaders and advocates working on advisors behalf.
May 01, 2017
Morningstar to Offer Advisors a New Tool to Evaluate Risk: Portfolio ProductsIn other product news, Ivy enters the passive world with five new index funds.
April 28, 2017
‘No Fee Compression on Our Advisors’: Raymond James CEOPaul Reilly discusses retention, recruiting efforts and compliance issues during the yearly indie advisor event.
April 28, 2017
SEC Fines BlackRock RIA $1.5 MillionThe fine settles a compalint that the BlackRock RIA had operated a Russia ETF without obtaining the correct exemptive relief from the Investment Company Act.