Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
American Century Adds LPL Exec; Lucia Grabs First Allied COO
By Janet LevauxAdam Sokolic has joined the mutual fund firm, while Tiy O'Neal is now with Lucia Securities.
March 16, 2015
Froude Steps Down as Head of Ameriprise Advisor GroupTwo senior execs, Bill Williams and Patrick O'Connell, are poised to step in to lead 9,672 FAs.
March 13, 2015
Baird Adds Ex-UBS Team, Former Morgan Stanley FA in TexasMeanwhile, Raymond James recruits five advisors to its financial institutions group.
March 12, 2015
Robo-Advisors Rip Schwab’s New Robo-Advisory Over Fees, CashThe gloves have come off in the rock em, sock em field of robo-advice.
March 11, 2015
American Realty Capital Names Rufrano CEO, Alters BoardThe moves follow the REIT's senior leadership resigning after an accounting scandal last year.
March 11, 2015
Deconstructing One Broker’s Take on a Fiduciary StandardA broker responds to my March column for investment Advisor on the fiduciary standard and makes some good points. And some not-so-good points.
March 10, 2015
Hearsay Social Names CFOWilliam Salisbury, Hearsay's first CFO, has worked for Morgan Stanley, Avast Software and other firms.
March 09, 2015
LPL Adds 2 Execs to Fortigent in ReshuffleTim Knepp and Matthew Peterson come on board to boost the indie broker-dealers high-net-worth platform.