Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Top 3 Advisor Challenges for 2015: Advisor FinTech, Regulation, Differentiation
By Michael E. KitcesPost-robo technology arises, a surprise new regulatory issue comes to the fore and fat-and-happy advisory firms faces the crisis of differentiation.
January 12, 2015
Raymond James Adds $1.1M UBS Rep, Ex-RBC TeamMeanwhile, Focus Financial affiliate adds an advisor with some $200 million in assets.
January 12, 2015
ThinkAdvisor’s 2014 Q4 Earnings Calendar for the Finance SectorA list of full-year and fourth-quarter 2014 earnings release dates for companies of interest to financial advisors and investors.
January 06, 2015
Morgan Stanley Picks Up Ex-Merrill Institutional Team in ChicagoRaymond James adds independent RIA group, while HighTower brings on a former UBS group.
December 31, 2014
Raymond James, Ameriprise Add Teams in MidwestThe teams move with close to $400 million in total assets under management, the broker-dealers say.
December 23, 2014
Raymond James Adds 8 Advisors; Margaret Towle Joins MerrillRJ adds advisors from largest credit union in Oregon, while Wells Fargo adds reps in Connecticut and Texas. Towle, formerly of HighTower, joins Merrill.
December 23, 2014
SEC chief White pushes back on advisor auditsWhite tells House Financial Services Committee that a reallocation of resources from BD coverage to advisors would "not be advisable."
December 23, 2014
SEC chief White pushes back on advisor auditsWhite tells House Financial Services Committee that a reallocation of resources from BD coverage to advisors would "not be advisable."