Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Adds $650M RIA, 18 Reps From Voya
By Janet LevauxAlso, Raymond James says it recruited a $300 million team from Merrill Lynch in New York.
November 08, 2016
Dan Rather on Leadership and ‘Most Important Election in a Generation’Noted newsman regales Commonwealth advisors with stories of world leaders and their common traits; worries country may retrench.
November 04, 2016
Commonwealth CEO: ‘Unlimited Liability’ Led to Dropping Commission ProductsCEO Wayne Bloom lays out the IBDs response to the DOLs fiduciary stew, including maintaining payouts.
November 03, 2016
LPL Mum on Possible Sale, Sees No Payout Cuts From DOLThe IBD outlines expected impacts of the new fiduciary rule and shares more details on its more limited fund lineup.
November 02, 2016
$500M Wells Fargo Team Moves to RBC Wealth: Recruiting RoundupMeanwhile, both Merrill Lynch and HighTower Advisors announce new reps and executive appointments.
November 02, 2016
16 Best & Worst 529 College Savings Plans of 2016: MorningstarOf the 63 plans Morningstar rates, almost half have a neutral rating and all three plans with a negative rating are sold by advisors.
November 02, 2016
Advisors Using Sector ETFs for Large Chunks of Portfolios: State StreetA State Street survey of advisors and wealth managers found that 85% are using sector or industry ETFs in portfolios.
November 02, 2016
TD Ameritrade Unveils All-Digital Robo-AdvisoryThe BD is offering the new service to existing clients currently and expects to launch it nationally in 2017.