Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cetera Strikes IPO Investment Deal With JMP, Expands Tech Ties With Broadridge
By Janet LevauxThe group's 9,700 advisors will be able to offer retail clients access to initial public offerings and its financial-institution clients more self-clearing capabilities.
October 14, 2014
LPL’s Robert Moore: RIAs Are Where the Growth IsLPL President Robert Moore tells ThinkAdvisor why the BD is not feeling acquisitive and why there's room to grow in the indie RIA space.
October 10, 2014
Hacked: What to Do When Cybercriminals Hit Your FirmCybersecurity is a constant threat, and considering how attractive a target a financial firm is, especially if it serves high-net-worth clients, advisors should be prepared for the worst.
October 10, 2014
Enforcement Roundup: FINRA Fines Morgan Stanley for Failures to Supervise Advisor ProgramIn other action, Massachusetts charges couple with fraud in real estate ventures.
October 10, 2014
Raymond James Sees Growth in RIA Unit; Adds Social Media, ETF OfferingsRelaunched and reinvigorated RIA custody unit has 110 RIA clients with $10 billion in AUM, adds Hearsay Social platform and 120 no-transaction-fee ETFs.
October 09, 2014
ThinkAdvisor’s 2014 Q3 Earnings Calendar for the Finance SectorA list of Q3 earnings release dates for companies of interest to financial advisors and investors.
October 09, 2014
SEC Slaps E*Trade for Unregistered Transactions, Issues Risk AlertSEC says that brokerage subsidiaries of E*Trade engaged in unregistered sales of micro-cap stocks; also issues Risk Alert reminding BDs of unregistered transaction duties.
October 09, 2014
Raymond James Highlights Women’s Achievements, Tech UpdatesThe firm attracts a record number of attendees, including 29 prospective advisors, to its 20th annual event for female reps.