Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Recruiting Roundup: Big Groups Move to Focus, Kestra & Raymond James
By Marlene Y. SatterThe shifts come as the teams end affiliations with Wells Fargo, Transamerica, LPL Financial and Cetera Investment Services.
August 01, 2016
McGinnis Steps Down as CEO of Advisor GroupValerie Brown will lead the group of IBDs as it moves from AIG to Lightyear Capital as McGinnis focuses on leading the transition.
July 28, 2016
Ameriprise Misses Q2 Estimates, Cites Market TurmoilThe firm cited increased volatility, lower average equity markets and persistently low interest rates for a 19% profit drop.
July 26, 2016
What Advisors Can Learn From the Gravedigger's DilemmaHow can the financial services profession restore its reputation and attract new talent? Some insights from Hungarian gravediggers.
July 26, 2016
SEC Launches Exam Sweep of RIAs’, Broker-Dealers’ Share Class PicksThe sweep will identify conflicts of interest in recommendations for mutual fund and 529 plan share classes with substantial loads or distribution fees.
July 26, 2016
Are You an RIA, IAR, FA, Rep, Indie Advisor or Broker? We’ve Got You CoveredThat clich that we live in interesting times happens to be accurate right now for the advisor community.
July 26, 2016
Is Private Equity IBDs’ Savior or Sorcerer?Several years ago, I attended a third-party recruiter gathering hosted by an insurance-owned broker-dealer that was working to attract advisors.
July 26, 2016
How to Handle Client Setbacks: Advice From 6 Industry GurusAnyone in the planning business knows the humbling adage, Man proposes, but God disposes. Or more colloquially, Stuff happens.