Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Recruiting Roundup: Wells Fargo Adds 6 Reps, $690M From Rivals
By Marlene Y. SatterThe advisors moved from Morgan Stanley and Merrill; meanwhile, LPL adds a hybrid group with $305 million in assets.
April 29, 2016
The DOL Fiduciary Rule Is Here. What Should Advisors Do Next?An Envestnet webinar for advisors laid out several steps advisors can take to comply with the new rule.
April 29, 2016
Raymond James to Roll Out Mobile App, Cybersecurity FeatureLonger-term plans involve bringing together large amounts of product information and portfolio data for advisors.
April 29, 2016
LPL Feeling Acquisitive in New Fiduciary Era; Q1 Sales Fall 9%The new DOL rule should squeeze cost structures for smaller competitors and lead to more opportunity for M&A, CEO Mark Casady says.
April 28, 2016
Ameriprise Weighs Adding Advisors as Regulation Squeezes RivalsDOL fiduciary rule opens up opportunities, CEO says; firm has devoted about 400 people to deal with its impact.
April 28, 2016
Raymond James Focusing on Diversity for Future GrowthThe firm and its advisors are expanding the scope of efforts to boost blacks and women in the business.
April 28, 2016
White House Offers More Ways for Student Loan Borrowers to Avoid DefaultNew initiatives from the Education Department and CFPB help borrowers identify the best repayment options.
April 27, 2016
Chris Paulitz: FSI's Quiet Force — The 2016 IA 25The face of FSI is clearly Dale Brown, but theres been another consistent, knowledgeable and effective force helping FSI grow its membership and influence.