Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
A CFP’s View of the CFP Board on Wall Street
By Bob ClarkA reader shares feelings about how the CFP mark is misused by unscrupulous financial professionals.
June 02, 2016
5 Ways to Make the Most of Slow Growth: KleintopDespite sluggish productivity growth, advisors and investors still can find bright spots in different sectors and countries, the Schwab strategist says.
June 01, 2016
Recruiting Roundup: Raymond James Adds $620M Bank Group, AdvisorMeanwhile, Morgan Stanley picks up four reps with a combined $790 million in assets.
June 01, 2016
Morningstar Buys Bond Analytics Group; Raymond James Grabs Euro M&A FirmThe research firm adds a fixed income tech partner, while the broker-dealer brings on an investment firm in Germany.
May 27, 2016
Advisor-Sold 529 Plans Lose Market Share Even as Assets GrowAdvisor-sold 529 plans account for 46% of all 529 plan assets, but more investors are choosing direct-sold funds with lower fees, according to Morningstar.
May 27, 2016
Raymond James to Add 72 Reps in CanadaIts Canadian unit is buying 3Macs, an investment firm with some $5 billion in assets.
May 25, 2016
Ah, the Parallels!Ive been in the journalism business for 33 years now, and Ive seen plenty of changes.