Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Merrill, Securities America & Commonwealth Add Reps From Rivals
By Janet LevauxMeanwhile, Focus Financial shares news about its recent executive recruiting.
May 15, 2015
Advisors, You’ve Been Serve(d)! For ThinkAdvisor’s Military SurveyThinkAdvisor invites advisors to tell us about your military service so we can share your stories in our ongoing Advisors Who Serve(d) slideshows.
May 15, 2015
Edward Jones Among Best Employers for Military in 2015Edward Jones has been recognized by CivilianJobs.com as a 2015 Most Valuable Employer for Military for its efforts to recruit and train military veterans as financial advisors.
May 15, 2015
Forget Fiduciary: Real Battle Coming Over HarmonizationSEC "hasnt been doing its job for a long time," MarketCounsel CEO Brian Hamburger says, and the DOL fiduciary controversy obscures a bigger fight ahead.
May 14, 2015
Lou Harvey: Looking for Mr. Dalbar—The 2015 IA 35 for 35The wizard behind the curtain of the ubiquitous research firm helped popularize behavioral finance and keeps the industry on top of important issues.
May 14, 2015
Wells Fargo Adds Morgan Stanley Reps; LPL Picks Up Team From JPMorganAlso, an LPL affiliate forms an RIA partnership to attract new reps to its network.
May 12, 2015
Joe Deitch: Keeper of Commonwealth Culture—The 2015 IA 35 for 35Chances are good that Joe Deitch is the only independent broker-dealer chairman that can claim a Tony Award for his work as a Broadway producer.
May 11, 2015
Deena Katz: Process Over Product — The 2015 IA 35 for 35"In the early days, we charged for transactions and gave away advice," recalls Katz. "Today, we do just the opposite."