Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ameriprise Misses Estimates, Posts DOL-Related Costs: Q3 Earnings
By Janet LevauxIts reps now have average fees and commissions of $511,000, which is down 1% from last year.
October 24, 2016
From Small to Medium: How to Manage Growth FearsIndependent firms' entrepreneurial mindset emerged in the 1980s, when the industry developed two variations on existing business models.
October 24, 2016
Why a Fiduciary Duty MattersDoes a fiduciary duty really make a difference in the quality of the advice that retail investors get?
October 24, 2016
Growing an Advisory Business in a Rapidly Changing IndustryWhile owner-advisors are aware that something is going on in their industry, most have yet to identify the real problem, so their solutions aren't working.
October 24, 2016
DOL Rule Casualty: Commonwealth Drops Commission Retirement ProductsIndie BD says the decision was challenging, though it makes less than 10% of revenue from commissions on these accounts.
October 24, 2016
Top Portfolio Products: AssetMark, Fi360’s New Tools to Help Advisors With DOL RuleIn addition, Vestmark unveils a new robo platform and Envestnet to integrate with MoneyGuidePro.
October 20, 2016
Galvin Sweep of BDs With 'Bad Brokers' Leads to ChargesAfter finding cases of elder abuse connected to reps with disciplinary records, Galvin moves to end their work in the securities business.
October 18, 2016
Web brokers tell HealthCare.gov they can't be agent copsExchange plan distributors say they have no interest in policing the retail agents' websites.