Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cetera BD Adds President for Robo-Push
By Janet LevauxAs president of Cetera Financial Institutions, LeAnn Rummel will be in charge of efforts to offer robo-advice to banks and credit unions.
August 08, 2016
Top Portfolio Products: New Bond, Macro and Real Estate FundsThe new fund sponsors are American Funds, Franklin Templeton with K2 and CAPFUNDR with Hamilton Real Estate Capital.
August 04, 2016
How Advisors Can Get Referrals From Millionaire ClientsIt's not just about accentuating the positive; it's also about eliminating the negative, a Fidelity study says.
August 04, 2016
Building confidence takes timeFor a new agent, learning the industry and building confidence can take about three years.
August 03, 2016
Recruiting Roundup: Big Groups Move to Focus, Kestra & Raymond JamesThe shifts come as the teams end affiliations with Wells Fargo, Transamerica, LPL Financial and Cetera Investment Services.
August 02, 2016
Securities America to Pay $1.5M for Fund OverchargesThe broker-dealer "disadvantaged" 1,514 clients who were eligible to buy share classes without extra charges, FINRA says.
August 01, 2016
FINRA Accuses Rep of Fleecing Blind, Elderly WidowHank Mark Werner, who is accused of excessive and unsuitable trading, made more than $243,000 in commissions on the account, FINRA said.
August 01, 2016
McGinnis Steps Down as CEO of Advisor GroupValerie Brown will lead the group of IBDs as it moves from AIG to Lightyear Capital as McGinnis focuses on leading the transition.