Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ameriprise Beats Estimates as Assets, Inflows Rise
By Janet LevauxThe broker-dealer has 9,675 advisors with average fees and commissions of $518,000 per year.
January 31, 2017
Betterment Now Offers Human Advice, Restructures FeesThe largest independent robo-advisor now offers 3 services: digital, digital plus and premium.
January 30, 2017
Raymond James Unveils Robo-AdvisorThe firm says its more than 7,100 indie and employee reps will have access to the innovations by year-end.
January 30, 2017
LPL to Pay $3.7M Over Star Rep’s Unsuitable VA Sales to SeniorsState regulators make the move in connection with over $1.8 million in commissions on variable annuities made by Roger Zullo and the IBD.
January 26, 2017
Merrill Lynch Nabs $4.5M UBS Team in Texas: Recruiting RoundupMeanwhile, Raymond James, Ameriprise, Focus Financial and Kestra add advisors, managers and more.
January 26, 2017
White House Reporter Talks Trump, Tweeting and TrustAt FSI OneVoice, former ABC News reporter Ann Compton gives advisors a taste of the challenges and lessons of presidential power.
January 26, 2017
Cetera BD Names New PresidentThomas Taylor will now lead Cetera Advisor Networks, which has about 2,400 affilated advisors.
January 25, 2017
Raymond James Tops Estimates as Profits, Sales RiseThe firm has more than 7,100 reps, $585 billion of assets and growing fee-based revenue.