Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
D.A. Davidson Buys IBD Crowell, Weedon of Los Angeles
By Janet LevauxWith its latest acquisition, the Midwest-centered company has about 460 advisors and an expanding West Coast presence
August 02, 2013
Fee-based advisor channel enjoys rapid growthThe study pegs the number of financial advisors across all channels at 352,000, of which 21,000 are fee-based and 11,000 are registered with the SEC.
August 01, 2013
Advisors ‘Haven’t Fully Committed’ to Social Media, SEI Expert SaysAs use by clients and companies in the industry expands, financial advisors seem to be apprehensive about using social media to grow their practices.
August 01, 2013
UBS Adds Morgan Stanley Advisor, but Loses Team to Boutique FirmA group of Wells Fargo reps with about $220 million in assets departs to go independent with an LPL affiliate.
August 01, 2013
SIFMA to SEC: Revamp SRO StructureThe regulatory structure of broker-dealers and exchanges should be carried out now because that structure is widely viewed to be outdated and in need of reconsideration and reform, says SIFMA.
August 01, 2013
Who's looking out for us? Part twoWhen broker-dealers, FINRA and the SEC are all on the same team, who's there to speak for the advisors?
August 01, 2013
Who's looking out for us? Part twoWhen broker-dealers, FINRA and the SEC are all on the same team, who's there to speak for the advisors?
July 31, 2013
SEC Adopts Stricter BD Custody RulesThe new rules for BDs will provide important additional safeguards for investors, according to SEC Chief Mary Jo White.