Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Eric Schwartz Steps Down as Cambridge CEO
By James J. GreenSchwartz emphasizes, I am not retiring from the independent broker-dealer that pioneered the BD fee-based business.
December 29, 2016
How Outside Business Activities Doomed a UBS AdvisorPhil Fiore was involved in a utility, which created a complicated regulatory situation for the now-fired registered rep.
December 28, 2016
LPL’s New CEO Comp Could Reach $5.4 MillionDan Arnold will see his total compensation grow about three times from his president's wages.
December 28, 2016
Raymond James Adds Teams from Wells Fargo, LPLThe firm brings on employee and independent reps with nearly $350 million in assets in Connecticut and Florida.
December 27, 2016
New Year, New ThinkingThe changes in the White House and Washington, D.C., this year are likely to bring an interesting mix of opportunities and challenges to financial advisors and their clients.
December 27, 2016
Stellar StrategistKarin Kimbrough, head of investment strategy for Merrill Lynch Wealth Management, joined Bank of America in 2014 after working for the Federal Reserve and for Morgan Stanley.
December 27, 2016
Alex. Brown Is BackNow part of Raymond James, the 200-year-old boutique wealth firm's business could double over the next few years, its president said.
December 27, 2016
Raymond James Nabs $1.2M Merrill Rep in Michigan: Recruiting RoundupA veteran wirehouse advisor with about $110 million in client assets makes the move in the greater Detroit area.