Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Best Investment Firms Ranked by Advisors: J.D. Power 2014 Satisfaction Study
By Janet LevauxOverall, advisors are comfortable with their firms, but many are unhappy about their latest pay packages, according to the J.D. Power Financial Advisor Satisfaction Study.
June 26, 2014
Raymond James, Baird, Wells Fargo Add Reps From RivalsThe freshly recruited teams include families as well as individual advisors.
June 23, 2014
Commonwealth Exec Returns After ‘Brief Hiatus’ at LPL FinancialPaul Mahan comes back to Commonwealth having spent just a month with its rivals retirement unit.
June 19, 2014
Krawcheck to Speak at Raymond James Women’s SymposiumThe broker-dealer expects more than 200 female advisors and about 30 prospective advisors at its 20th annual event.
June 19, 2014
Most Advisors Don’t Know Their Own FeesNearly two-thirds of advisors underestimate their fees by more than 30 basis points, a survey by Peak Advisor Alliance and Cerulli found.
June 19, 2014
First Allied Launching More Platforms Thanks to RCAP, SchorschCEO Adam Antoniades describes the latest offerings and says plaintiffs' attorneys are using the media to cast a bad light on the BD industry.
June 19, 2014
BrokerCheck Links in Twitter Profiles? No Way, BDs Tell FINRAIn comments on FINRA's revised plan to require links to BrokerCheck, rules on social media and other third-party sites draw particular ire from broker-dealer groups.
June 16, 2014
DOL Fiduciary Rule in 2016?It may be 2016 before a new rule is in effect, and even thats a long shot, says Groom Law Group's Steve Saxon.