Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Makes HNW Push Via Deutsche-Bank Deal in U.S.
By Janet LevauxRaymond James’ announcement in December that it is acquiring the U.S. private wealth business of troubled Deutsche Bank confirmed industry speculation.…
December 28, 2015
New Resolutions for Old ChallengesAs we head into 2016, a final rule from the DOL defining who is a fiduciary when giving retirement advice is finally, maybe, on the horizon and a looming talent shortage threatens to stymie advisory firm growth.
December 23, 2015
Compliance team looks at how HealthCare.gov issuers are overseeing YOUReviewers found widespread problems with credentials verification and NPN tracking.
December 23, 2015
Recruiting Roundup: HighTower, Securities America Add AdvisorsRDM Financial becomes HighTower partner with $700 million in assets; Felix Jones leaves Holmes Organization with $80 million.
December 17, 2015
With IBD Business Model Threatened, Who Wants to Buy One?With talk of the possible sale of AIG Advisor Group and Cetera, Jon Henschen and Chip Roame discuss the state of the indie brokerage business.
December 16, 2015
Recruiting Roundup: UBS Picks Up 5 More Credit Suisse AdvisorsMeanwhile, Ameriprise recruits an indie team from Cetera Financial in Denver to its employee channel.
December 16, 2015
FINRA Broker Arbitration Task Force Suggests 51 ChangesThe panel's biggest conclusion: Arbitrators should be paid more.
December 16, 2015
FSI Names 5 New Board DirectorsVice Chair Amy Webber of Cambridge will advance to become board chair, among several other shifts in leadership.