Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fiduciary Debate 2016: A Watershed Year
By Bob ClarkA January paper released by the Institute for the Fiduciary Standard detailed regulatory and fiduciary issues on the table in 2016, among them, the SEC's fiduciary standard for brokers.
February 26, 2016
RCS Capital, Cetera Sue Lightyear Over Poaching, Harm to Advisor BusinessThe case involves executives like Valerie Brown, formerly with AIG Advisor Group, which is being bought by Lightyear.
February 26, 2016
What Advisors Can Learn From Millennials’ Dislike of BanksSocial media executives stress that advisors can build strong engagement online with clients and prospects.
February 26, 2016
Rep-as-Portfolio-Manager Programs’ Assets SurgeSince the 2008 market collapse, advisors who may have previously outsourced portfolio management to home-office consulting groups are reasserting control of client accounts," Cerulli says.
February 25, 2016
No, DOL Fiduciary Rule Not Driving Advisors Away From Firms: Brian HamburgerThe market for breakaway advisors has never been more ripe, but thats not due to the DOL fiduciary proposal, says MarketCounsel's Brian Hamburger.
February 25, 2016
Are you an industry elite?Nominations are now open for this year's Industry Elite Awards.
February 25, 2016
Does the DOL threat require a Plan C?If attempts to fight and alter the proposed DOL fiduciary rule fail, what can we as an industry do?
February 24, 2016
Recruiting Roundup: Wells Fargo Gains 2 Advisors From RivalsNorthern Trust expands Houston wealth management team; Raymond James adds affiliate.