Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Which Robo-Advisors Are Best? To Find Out, an RIA Invests in Them
By Bernice NapachCondor Capital, a New Jersey-based RIA, invested in about a dozen robo-advisors to measure their comparable performance.
November 30, 2016
LPL Opens New Campus in South CarolinaGov. Nikki Haley attended the event in Fort Mill, where the IBD inaugurated its second "green building."
November 30, 2016
Financial Services Explained, Pt. 3: The Levels of Independent AdviceIn this post in our series, an explanation of the different affiliation models of professional advice-givers, aka advisors.
November 29, 2016
Financial Advisors Voted Overwhelmingly for Trump: FSI PollFinancial advisors favored Trump over Clinton by a ratio of more than 3 to 1, according to a post-election poll from FSI.
November 29, 2016
LPL Nabs $4B Group With 135 Reps From LincolnIntegrated Financial Partners of Waltham, Massachusetts, is joining its IBD and hybrid RIA platforms.
November 29, 2016
FINRA Fines VALIC $1.75M Over Comp Policies, VA SalesFor three years, reps had incentives to move assets into proprietary products and were not adequately supervised, the regulator says.
November 28, 2016
Trump’s Bank-Reg Rollback Plans May Get Boost From EUThe EU is proposing to soften European bank regulatory rules, which could support Trump's plans to ease bank regulations in the U.S.
November 25, 2016
Raymond James Adds 3 Texas Reps, Shares October ResultsThe firm attracts the independent advisors from rival LPL Financial in different parts of the Lone Star State.