Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wirehouses Reps Move to Baird, RBC: Recruiting Roundup
By Janet LevauxMeanwhile, two LPL-affiliated wealth firms with $2 billion in combined assets plan to merge.
December 22, 2016
Department of Labor’s 2016 by the NumbersA changing administration portends a change in direction, but heres how the DOL did in 2016.
December 22, 2016
Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers?Chairwoman Whites departure may not end the Enforcement Divisions pursuit of minor violations.
December 22, 2016
U.S. Bancorp Wealth Unit Taps Former-Wells Fargo Exec for Key PostKaren Wimbish served as the head of the bank's retail retirement group and president of Wells Fargo Advisors' Latin American Group.
December 21, 2016
6 Ways for Owner-Advisors to Make Mergers WorkMy consulting work with advisorsand my own failed merger experiencehave taught me these lessons.
December 21, 2016
FINRA’s 12 Fines of Christmas: Wells Fargo, LPL Flub Security of RecordsThe companies were fined a total of $14.4 million, as some firms failed to keep millions of records in the proper electronic format.
December 20, 2016
Congress Got Schooled Once by a BD Owner; It Should AgainAs the new administration and Congress contemplate regulatory changes, it would be wise to get input from broker-dealer owners like Peter Schiff.
December 20, 2016
DOL rule will force consolidation of broker-dealers, Cerulli report saysBroker-dealers with less than $10 billion in assets under management account for more than 80 percent of broker-dealer sales volume but less than 10 percent of advisor-managed assets.