Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Morningstar to Help BDs Manage Small 401(k)s
By Bernice NapachMorningstar Plan Advantage will let broker-dealers offload the fiduciary responsibility of managing defined contribution retirement plans.
August 10, 2016
Cetera BD Adds President for Robo-PushAs president of Cetera Financial Institutions, LeAnn Rummel will be in charge of efforts to offer robo-advice to banks and credit unions.
August 10, 2016
FINRA Floats Rule Changes on Gifts, Noncash CompThe proposed changes "make sense" as some of the current rules, especially on business entertainment, are "too subjective," Cipperman Compliance Services says.
August 09, 2016
Stifel’s Profits Crash in Q2 Despite Wealth Growth; Ladenburg Results WeakenStifel Financial is getting rid of the indie reps it bought from Sterne Agee, but holding on to the ex-Barclays reps.
August 08, 2016
Top Portfolio Products: New Bond, Macro and Real Estate FundsThe new fund sponsors are American Funds, Franklin Templeton with K2 and CAPFUNDR with Hamilton Real Estate Capital.
August 04, 2016
How Advisors Can Get Referrals From Millionaire ClientsIt's not just about accentuating the positive; it's also about eliminating the negative, a Fidelity study says.
August 04, 2016
Building confidence takes timeFor a new agent, learning the industry and building confidence can take about three years.
August 03, 2016
Recruiting Roundup: Big Groups Move to Focus, Kestra & Raymond JamesThe shifts come as the teams end affiliations with Wells Fargo, Transamerica, LPL Financial and Cetera Investment Services.