Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Mum on Possible Sale, Sees No Payout Cuts From DOL
By Janet LevauxThe IBD outlines expected impacts of the new fiduciary rule and shares more details on its more limited fund lineup.
November 02, 2016
Advisors Using Sector ETFs for Large Chunks of Portfolios: State StreetA State Street survey of advisors and wealth managers found that 85% are using sector or industry ETFs in portfolios.
November 02, 2016
TD Ameritrade Unveils All-Digital Robo-AdvisoryThe BD is offering the new service to existing clients currently and expects to launch it nationally in 2017.
November 01, 2016
Cambridge Says Its Advisors Will Keep Commission-Based AccountsThe IBD is one of several firms to announce that its retirement accounts will include commissions, despite the coming DOL rule.
November 01, 2016
Broker-Dealer INVEST Taps New Compliance ChiefThe IBD, part of National Planning Holdings, brings on Jason Albino, formerly with Penn Mutual Life.
November 01, 2016
5 Best Asset Managers for Tech-Minded AdvisorsAccording to a report from DST kasina, less than 20% of asset managers provide the detailed performance data that 79% of advisors desire.
October 31, 2016
Advisor Social Media Use Grows, as Do the Different Ways It’s UsedWhich platforms are used and how often depend on individual firms, advisors noted at a SIFMA forum, which could change when FINRA issues new guidance.
October 28, 2016
FINRA Sweeps Broker-Dealers’ Cross-Selling PracticesFINRA focused on nature, scope of BDs cross-selling activities and whether they are adequately supervised.