Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Why a Diluted Fiduciary Rule Is Bad for Advisors: Betterment, CFP Board
By Bernice NapachBetterment, CFP Board and Consumer Federation say that a watered-down rule could hurt not just investors but advisors, and they discuss what could happen next.
April 06, 2017
Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2017Overall satisfaction has risen across full-service broker-dealers, the survey finds, but robo-advisors present a clear threat.
April 06, 2017
Focus Financial Nabs $2.7B RIA; Raymond James Adds Wirehouse Rep: Recruiting RoundupMeanwhile, U.S. Trust hires a philanthropic sales director and S2K brings on a due diligence executive.
April 05, 2017
CFP Board Launches Campaign to Attract Younger, More Diverse AdvisorsThe "I am a CFP Pro" campaign is intended to expand the advisor workforce to better reflect the population it serves.
April 05, 2017
JPMorgan Moves Ahead on Robo-Advisor, but Doesn’t Call It ThatThe bank refers to it as an automated advisor; CEO Dimon says the firm spent $600 million on fintech last year.
April 04, 2017
3 Steps to Offering Fiduciary-Friendly Rollover AdviceFinancial advisors can proactively take these steps to help make the most of the rollover opportunity while preparing for potential changes in the future.
April 03, 2017
Not All 90% Payouts Are Created EqualWhile the payouts of prospective independent firms may appear similar, there can be a wide income disparity between advisors.
April 03, 2017
Raymond James Is Ready to RoboThe firm, which works with over 7,000 advisors, plans to launch its own robo advisor later this year.