Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA 'Ready to Act' if SEC Finalizes Best-Execution Rules: CEO
By John ManganaroEnsuring regulatory clarity on evolving best execution standards is a top priority for 2023, FINRA's Robert Cook says.
January 13, 2023
Top 5 Trends at Merrill Wealth Management in Q4The unit's president, Andy Sieg, gave an update on its new training, mobile work station and advisor matchmaking programs.
January 12, 2023
J.P. Morgan Wealth Unit Launches QuickDeposit: Tech RoundupIn addition, Rose Palazzo was named group president of Envestnet Financial Planning and will lead MoneyGuide operations.
January 12, 2023
7 Pillars of Successful Networking for AdvisorsOn a Kitces podcast, wealth advisor Lisa Brown discusses how to build credibility and grow your career.
January 10, 2023
Former Broker Pleads Guilty to Filing False Tax ReturnThe ex-broker filed individual income tax returns omitting installment payments related to the sale of his advisory firm.
January 10, 2023
Cetera Picks Up $2.5B RIAPatriot Financial Group, formerly affiliated with Advisor Group's Securities America, has 70-plus advisors in seven states.
January 10, 2023
Ex-Broker Gets Over 5 Years in Prison for $2.9M Securities SchemeThe former broker diverted clients' funds to repay previous investors and for his own use, according to DOJ.
January 06, 2023
10 Expressions That Help You Get What You WantAdvisors face many situations where using the right words is the key to getting the desired result.