Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
RCS Capital, Cetera Settle Poaching Suit With Lightyear
By Janet LevauxLightyear, which is buying the Advisor Group from AIG, has agreed not to recruit RCS Capital's senior management through late September.
March 17, 2016
FINRA Warns BDs to Follow Robo-Advice RulesReport reminds broker-dealers offering digital advice services of their investor-protection obligations under our rules, says FINRA's Axelrod.
March 17, 2016
LPL, Edward Jones Pre-DOL Rule Shifts: Smart Moves or Overreaction?Industry watchers share their views on the merits and drawbacks of such an approach by several broker-dealers.
March 17, 2016
Recruiting Roundup: Raymond James Adds $225M Breakaway TeamMeanwhile, U.S. Trust shares the details about its new batch of of private client advisors.
March 17, 2016
Career Swap: Why 7 Advisors Left These 7 ProfessionsThere are many more career changers than undergraduates enrolled in CFP programs, says Joseph Maugeri of the CFP Board.
March 16, 2016
LPL Cuts Prices, Account Minimums Ahead of DOL Fiduciary RuleThe independent broker-dealer also plans to offer a fund-only brokerage IRA to meet the new fiduciary standard.
March 16, 2016
Raymond James Names New General CounselJonathan Santelli joins from First Republic Bank and will train with veteran Paul Matecki for five months.
March 14, 2016
Top Portfolio Products: State Street Launches SHE, a Gender Diversity ETFWho is SHE? This new State Street index ETF has the potential to outperform because of gender diversity.