Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
HighTower Gives Advisors Envestnet Retirement Tool
By Janet LevauxThe partnership aims to boost the retirement plan business of its independent advisors.
December 01, 2014
Raymond James Adds Ex-LPL Group in N.J.Boutique wealth groups add teams in Arizona and Iowa.
November 26, 2014
How Fiduciary Advisors Can Change Wall Street—AgainRon Rog and NAPFA pushed, and the public pulled, big brokerages to adopt an AUM model. The same can be done with a fiduciary standard.
November 25, 2014
‘Faulty’ Analysis Could Torpedo an SEC Fiduciary Rule: AdvocatesSECs analysis on a fiduciary rule must be thorough and well-reasoned, as a faulty analysis could doom or further delay prospects for reform.
November 24, 2014
Are Privately Owned Broker-Dealers a Dying Breed?With the recent sales of broker-dealers, have you noticed how many BDs in the top 50 are privately owned?
November 24, 2014
Schorsch Unit Draws State Regulator's ScrutinyMassachusetts regulators are investigating Realty Capital Securities, a spokesperson said in early November.
November 24, 2014
RCAP Says Some Selling Deals Have Resumed as Execs Buy Company StockThe nontraded REIT distributor stays mum on which broker-dealers have changed their sales policies on ARCP products.
November 20, 2014
Investing in the industry’s future: NAILBA 33At the opening general session of NAILBA 33, moderator Gene Koster discussed the future of the industry with a group of industry panelists.