Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Waddell & Reed Adds eMoney to Advisor Tech Platform
By Janet LevauxThe broker-dealer, which has about 1,800 advisors, is building a new platform and does not plan to roll out robo-advisor services.
July 05, 2016
Drug, device makers gave U.S. doctors, hospitals $6.49 billionThe 2015 vendor goody value total was 0.9 percent higher than the 2014 total.
July 04, 2016
After the DOL Fiduciary Rule, Enter the Fee-Based Variable AnnuityThe long-suffering product class may be ripe for a comeback as hefty VA commissions are frowned upon under the DOL rule.
July 04, 2016
Top Portfolio Products: 4 Firms Add ETFs; Fidelity Cuts FeesState Street and AccuShares introduce sector ETFs; Guggenheim and Deutsche Asset Management launch "smart" ETFs.
July 01, 2016
Honoring Advisors Who Serve(d): Fourth of July, 2016ThinkAdvisor honors 13 veterans this Fourth of July who served in the armed forces and now serve their clients as financial advisors.
June 30, 2016
JPMorgan Accused of Double Standard on Broker PoachingFirms says some arent subject to the "cease-fire" industry pact; the decade-old agreement is under strain as banks claim exceptions.
June 30, 2016
FINRA Posts Loss for 2015 as Costs Rise, Fines Drop 30%Revenue from fines weakened to $93.8 million, while costs grew to over $1 billion on technology projects.
June 30, 2016
4 Useful Hacks for the SEC’s IAPD Disclosure SiteThese IAPD tips can be as valuable to you and your firm as they are to investors checking you out.