Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Web brokers tell HealthCare.gov they can't be agent cops
By Allison BellExchange plan distributors say they have no interest in policing the retail agents' websites.
October 14, 2016
Recruiting Roundup: Ameriprise Adds UBS Rep, RBC Taps Complex ChiefDeutsche Bank Wealth Management expands executive team by hiring Credit Suisse managers; more.
October 13, 2016
HealthCare.gov expects to fire about 45 agents per yearManagers still hope to have relationships with about 100,000 agents and brokers.
October 13, 2016
Misbehaving Consumer Agency Gets Sent to Time OutIn one of the first big tests of its power, CFPB didnt fail but did get a big red Needs Improvement from a Federal court.
October 12, 2016
LPL ‘Baggage’ May Block Search for Buyer: Nomura SecuritiesLPL is reportedly looking at a potential sale or other financial arrangements, but analysts say finding a buyer could be a problem.
October 12, 2016
Why the Wirehouses Hate the AUM Business ModelTo me, the big question is why brokers continue to share their revenues with their broker-dealers.
October 11, 2016
Is LPL Financial Up for Sale?The independent broker-dealer is reportedly exploring a variety of possible moves.
October 11, 2016
Raymond James Honors Five ‘Women of Distinction’ at EventThe firm gives awards to top female advisors in its various divisions during the annual Womens Symposium in Orlando.