Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Dear Breakaway Broker: Know Your Employment Agreement(s)
By Chris StanleyWhether youre a rep, an RIA or an advisor employer, its wise to understand the legal issues around employment.
January 26, 2016
What Will Lightyear Do With AIG Advisor Group?In an acquisition like the purchase of AIG Advisor Group by Lightyear Capital and PSP Investments, there are usually two options, recruiter Jon Henschen says.
January 26, 2016
Is Betterment Advisors’ Friend or Foe?CEO Jon Stein tells crowd at Inside ETFs that their business is complementary, but institutional players like Schwab should beware.
January 26, 2016
DOL’s Perez: Fiduciary Rule to Be Wrapped Up in ‘Coming Months’Labor Secretary Thomas Perez also said the White House plans to push for auto-IRAs and boost MEPs in its upcoming 2017 budget.
January 22, 2016
RCS Capital Names Turnaround Specialist as New CEOLarry Roth steps down from the post to focus on management of Cetera Financial Group.
January 21, 2016
Recruiting Roundup: Raymond James Grabs $2M Team from Wells Fargo, DavenportMeanwhile, Merrill Lynch adds a wealth strategist in Miami; Focus Financial draws large RIA in New York.
January 20, 2016
Raymond James Misses Estimates, Despite Strong RecruitingThe firm is in the process of acquiring some 200 Alex. Brown advisors from Deutsche Bank.
January 20, 2016
Schwab, TD Ameritrade Top Estimates on Strong Q4 Asset GainsSchwab has over $2.5 trillion in assets, while TD Ameritrade has $695 billion.