Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Most Advisors See Little Effect From New Fiduciary Rules, Survey Finds
By Janet LevauxBut, expert asks, do reps really understand what they will need to do to fully monitor and manage investment suitability?
July 28, 2015
Why conferences are worth itWhile its tough being away from family and a daily routine, I find it motivating to see those in our industry come together.
July 27, 2015
$3B Team Joins Wave of Reps Saying No to StifelThe five advisors, who are going independent with Dynasty, are the latest to leave Barclays since Stifel said it would acquire the firm's wealth unit.
July 27, 2015
LPL CEO Addresses Firm’s Compliance WoesThe firm is close to being done resolving several enforcement issues it has faced over the last few years, CEO Mark Casady said.
July 23, 2015
Raymond James, Ameriprise Beat Estimates on Strong Advisor ResultsRaymond James boosts private client revenue 9%, while Ameriprise improves wealth profits 13%.
July 22, 2015
Wells Fargo, Raymond James Add Reps From UBS, Merrill & Morgan StanleyA veteran female team goes independent in Utah.
July 21, 2015
TD Ameritrade Tops Estimates, Cites ‘Breakaway Brokers’ as a FactorCEO Fred Tomczyk is upbeat on the attractiveness of the firms institutional platform and its sales pipeline.
July 20, 2015
Fixed Indexed Annuity Sales Displacing Some VA Products at BDsAlthough VA sales far outpace total annuity sales for broker-dealers, fixed indexed annuities account for 10% of BDs total annuity sales, IRI reports.