Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Docupace Aims to Break Free From RCS Capital
By Janet LevauxThe tech firm wants to follow Cetera Financial's lead in separating itself from its troubled majority owner.
January 11, 2016
IBD Commonwealth Hits $1 Billion Revenue MarkMeanwhile, its independent reps are averaging close to $600,000 in yearly fees and commissions.
January 08, 2016
RCS Capital Reveals Latest Saviors; Lightyear-AIG Deal Talk GrowsTwo PE firms and Eaton Vance are allowing RCAP to forgo debt payments; meanwhile, recruiter says "lawyers are working" on Lightyear's AIG Advisor Group deal.
January 07, 2016
Recruiting Roundup: $400M Team Leaves First Allied for DFPGIn other news, Raymond James says a bank group has become its latest institutional affiliate.
January 07, 2016
LPL Makes Top-Level Push in Biz Development, SalesBill Morrissey will lead recruiting & development; Andy Kalbaugh will boost services to independent reps & institutions.
January 06, 2016
Booth Takes Reins at BairdThe employee-owned firm has some 850 advisors with $107 billion in client assets.
January 06, 2016
Moody’s Downgrades RCS Capital (Again)The news follows RCAP's announcement that it would file for bankruptcy and spin off Cetera.
January 05, 2016
FINRA’s Top Exam Priorities for 2016FINRA CEO Richard Ketchum tells ThinkAdvisor that one of the top priorities for the year is managing brokers' conflicts of interest.