Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Tops Estimates, Reports Strong Revenue: Q2 Earnings
By Janet LevauxPlus, the Private Client Group's fee-based business is growing 11% year over year, according to CEO Paul Reilly.
July 19, 2016
SEC Proposes Making Brokers Reveal Where Client Orders GoRegulator seeks comment on ramped-up broker disclosure rules; institutions would get more information on how orders filled.
July 18, 2016
Top Portfolio Products: Management Changes at Vanguard, Touchstone FundsCheck out this week's fund management changes and ETF launches, including new sustainable investing funds.
July 15, 2016
Credit Union Advisors Lead the Pack in Fiduciary Rule Readiness: StudyCredit unions are far ahead of other institutions in making the DOL fiduciary rule transition, according to a study by Kehrer Bielan Research & Consulting.
July 14, 2016
Betterment Assets Top $5 Billion; Firm Hires Its First CFOBetterment CEO Jon Stein says assets are five times what they were just 18 months ago.
July 14, 2016
JPMorgan Beats Estimates on Higher Sales: Q2 EarningsThe bank, which has 2,620 advisors, saw its profits fall slightly from last year to $6.2 billion.
July 14, 2016
Advisors Must Tell Clients About Their Robo Use, State Regulator SaysAdvisors must disclose to clients when they use robo platforms and what services those platforms provide, Commonwealth Secretary William Galvin of Massachusetts says.
July 14, 2016
Recruiting Roundup: Dynasty Adds Group From LebenthalMeanwhile, several wirehouse reps help form a new RIA in Cleveland; Betterment adds a CFO and hits $5 billion in AUM.