Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
RCS Capital’s Equity Sales, Net Income Plummet in Q1’15
By Janet LevauxEarlier, the firm said April '15 sales of nontraded REITs and other investments were up from their November '14 lows.
May 06, 2015
Toward a Workable Fiduciary Standard for Brokers: The 7 QuestionsTo tell if brokers are really acting like fiduciaries, ask these seven questions about a client's portfolio to check for possible broker abuses.
May 05, 2015
Tom Bradley: Advisor Evangelist—The 2015 IA 35 for 35Ask Bradley to look back at pivotal moments that shaped the advisory business and he recalls May Day 1975, the day the SEC deregulated commissions.
May 05, 2015
Will Vanguard’s New Hybrid Platform Crush Robos?Investors with at least $50,000 can pay as little as $150 a year for the service, which combines digital advice with guidance from an advisor.
May 04, 2015
Why the IA 35?While Im not a fervent believer in the Great Man theory of history, I do believe that individuals make a big difference in the history of the world, of nations and of families.
May 04, 2015
The 2015 IA 35 for 35These advisor advocates, investors, politicians and thought leaders have stood out over the past 35 years and will influence financial services for decades to come.
May 04, 2015
The Age of Financial Secrecy Is EndingTransparency is here, like it or not. Forward-thinking adaptation that takes advantage of the new reality is the key to survival.
May 04, 2015
Raymond James Adds Complex Managers, FAs From WirehousesIn addition, it taps a marketing veteran to lead its Network for Women Advisors, which has more than 800 FAs.