Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
New Hire Roundup: Vanguard’s McNabb to Serve Additional Term at ICI
By Marlene Y. SatterMeanwhile, Dynasty Financial Partners announced a new partnering with Nova Wealth Advisors.
October 02, 2014
30 Best iPad Apps for Financial AdvisorsHere are advisors' favorite apps for networking, productivity, travel and more, according to ClientWise and its readers.
October 01, 2014
IRI Elects LPL’s Moore Board ChairmanNew IRI Board members include Larry Roth of Cetera, Erica McGinnis of AIG Advisor Group and George Riedel of USIS.
September 29, 2014
SEC's Uniform Fiduciary Rule Could ‘Haunt’ AdvisorsCreating a uniform fiduciary duty rule for brokers and advisors is a deeply flawed concept, Robert Plaze, the former deputy director of the agency's Division of Investment Management, said in September.
September 29, 2014
RCS to Add Girard; Renames IBD GroupRCS Capital has said it is buying independent broker-dealer Girard Securities. The news came right after RCAP said its rapidly growing IBD network will…
September 29, 2014
FINRA Rejects Claim Tied to Departing RepsFINRA arbitrators have rejected a $15 million claim by Charles Schwab against Morgan Stanley.The dispute centered on Schwab's accusations that Morgan Stanley…
September 29, 2014
RCAP's Crowdfunding Site: A Smart Move?RCS Capital (RCAP) introduced a platform in September called We Are Crowdfunding that lets accredited investors and others buy public and private offerings online by pooling their resources.
September 29, 2014
Experimenting With New Compensation ModelsThe variety of fee structures is growing, as advisors fine-tune offerings for a changing client base.