Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Attention business travelers: Commence shrinking your suitcases
By Justin BachmanSay goodbye to overstuffed overhead bins; say hello to tiny suitcases.
June 08, 2015
In Managed Accounts, Packaged Portfolios Beat Advisor-Driven Ones: CerulliPackaged portfolios put together by broker-dealer home offices have beaten advisor-driven or open portfolios over the past five years, according to new Cerulli research.
June 05, 2015
Securities America Hosts National Conference, Women’s SummitThe indie broker-dealer also says its reps can begin using a mobile-check deposit app.
June 05, 2015
Focus Financial Obtains $1B for GrowthThe credit facility is available to all Focus firms and will fund programs to support efforts to go independent and plan for succession.
June 04, 2015
LPL Adds Teams From Morgan Stanley, Lincoln; Merrill Grabs Ex-UBS DuoThe indie broker-dealer should bring in about $600 million in new assets and the wirehouse about $300 million.
June 04, 2015
4 Signs the Wirehouse Team Ain’t Movin’There are some easy ways to probe the real intentions of advisors who say they want to go independent.
June 03, 2015
Wells Fargo, Hearsay Social Roll Out New Tech ToolsThe wirehouse boosts reps' tablet power, while the social media tech firm introduces a "universal" supervision solution.
June 03, 2015
SIFMA, FSR Propose ‘Uniform Best Interests’ Standards for BDsSIFMAs CEO, Ken Bentsen, says its legal standard would protect investors and avoid separate and inconsistent fiduciary policymaking at DOL and SEC.