Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Small Broker-Dealers' Secret Weapon
By Jon HenschenWhile many small BDs will continue to be acquisition targets, some smaller firms are thriving and growing.
May 06, 2022
Commonwealth: Advisor Adoption of Brand Studio Has 'Exceeded Expectations'The strategic marketing support initiative is now available to all the firm's advisors after an early access program.
May 05, 2022
Barred Broker Gets Over 9 Years in Prison for $100M Ponzi SchemeThe former broker was convicted of bilking more than 40 investors.
May 02, 2022
What the Broker-Dealer Industry Looks Like Now, in 5 ChartsFINRA has released its 2022 Industry Snapshot.
May 02, 2022
4 Ways to Get Succession Planning RightWhile every practice is unique and there's no silver bullet, there are a few essential tenets for those thinking about their retirement from the advice business.
April 29, 2022
Ex-Cetera Broker Gets $3M in Damages for Wrongful TerminationIn a FINRA arbitration case, the rep accused the firm of wrongfully terminating him in 2019.
April 29, 2022
Wells Fargo Mistakenly Announces Death of Advisor Who Left Firm"It's good to be alive and I'm very thankful to be with oXYGen Financial," Robert Brian Watson told ThinkAdvisor.
April 28, 2022
Why RIA Advisors Are Better Fund Pickers Than BD Reps: StudyDual registrants act more like BD advisors when selecting funds, mainly basing decisions on past performance, David Blanchett says.