Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Big Jump in Advisory Firms in 2015
By Danielle AndrusThe number of SEC-registered advisory firms grew more than 5% since 2014, the largest increase in four years, a report from IAA and NRS says.
August 03, 2015
FINRA Fines Aegis $950,000, Suspends Top ExecsThe charges are linked to unregistered penny stocks, sold by groups based in Turks & Caicos.
July 31, 2015
1 in 10 Advisors Have Never Heard of Robos: SurveyA survey from Jefferson National identifies some misperceptions the industry has about robo-advisors.
July 31, 2015
‘Dissident’ Candidate Elected to FINRA BoardBrian Kovack campaigned on the need to reform FINRA's arbitration process, exams and registration disclosures.
July 30, 2015
Cetera Shuttering Broker-Dealer, Pushing Out Some RepsRecruiter says about half of the J.P. Turner advisors have been invited to join Summit Brokerage.
July 30, 2015
Most Advisors See Little Effect From New Fiduciary Rules, Survey FindsBut, expert asks, do reps really understand what they will need to do to fully monitor and manage investment suitability?
July 28, 2015
LPL Sees Strong Hybrid RIA Growth Amid ‘Massive Consolidation’LPL advisors can potentially save time and money using the companys new Vendor Affinity Program, the firm announced Tuesday.
July 28, 2015
Where Are the Departing UBS Reps Going?The firm is shedding advisors, who are moving on to a variety of rivals and going independent.