Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wells Fargo Grabs 8 Advisors With $1 Billion in Assets
By Janet LevauxMeanwhile, RIAs affiliated with Focus Financial and LPL add reps.
July 07, 2014
LPL, Former Exec to Launch Retirement GroupFormer LPL retirement head Bill Chetney's new firm will work with LPLs hybrid RIA platform to boost the IBDs retirement plan business.
July 02, 2014
Half of brokers still mulling industry exitLeaving the industry is on the minds of brokers nationwide, though employers say they need them more than ever.
July 01, 2014
Baird Wraps Up Major AcquisitionWith the purchase of McAdams Wright Ragen, the privately owned firm now has more than 800 reps in more than 80 branches.
June 30, 2014
At Triad, Being RIA Friendly Is Old HatMany broker-dealers have moved over the past few years to accommodate their fee-based reps by adding a custodial platform so those reps can run their own RIAs.
June 30, 2014
LPL’s Largest Hybrid Is on a Wild Growth TearIndependent Financial Partners CEO Bill Hamm explains how the firm increased AUM from $3.3 billion to $5.2 billion in a year.
June 30, 2014
Best Investment Firms Ranked by Advisors: J.D. Power 2014 Satisfaction StudyOverall, advisors are comfortable with their firms, but many are unhappy about their latest pay packages, according to the J.D. Power Financial Advisor Satisfaction Study.
June 27, 2014
ThinkAdvisor’s 2014 Q2 Earnings Calendar for the Finance SectorA list of Q2 earnings release dates for companies of interest to financial advisors and investors