Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA’s Ketchum Criticizes DOL Fiduciary Plan
By Melanie WaddellFINRA CEO says DOL's safe harbor descriptions are "narrow" for BDs and that the CARDS plan is on hold until security concerns are addressed.
April 29, 2015
Why Commissions Are Also Bad for BrokersCommission-based brokers are the only guys in the hugely successful asset management game who arent getting cut in on the gravy train.
April 27, 2015
Black Financial Advisors Network Launched at Raymond JamesA grass-roots effort is designed to help recruit more black advisors to Raymond James, and provide support and mentoring to existing advisors.
April 27, 2015
Senate Democrats Push Back on DOL Fiduciary PlanThe Obama administration plan to tighten rules on brokers is facing blowback from the presidents own party.
April 23, 2015
Raymond James Hits Revenue Milestone as Profits Improve 7% in Fiscal Q2Total number of advisors in the Private Client Group reached record 6,384, but assets grew faster than headcount.
April 23, 2015
An Overlooked Benefit of Going Independent: Quality of LifeFreeing up time for a balanced life is invaluable, but too many IBDs send a message to reps thats not much different than the wirehouses.
April 22, 2015
Advisors Leaning More on Product Providers’ Mobile SitesNew report offers perspective on what advisors wantand often dont get.
April 22, 2015
Making brokers work for clients is way past dueThree out of four U.S. investors mistakenly think that financial advisors at brokerage firms are required to put clients' interests first.