Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Do's and Don'ts of Using Client Testimonials
By Jane Wollman RusoffLarry Sprung of Mitlin Financial, an early adopter of testimonials, discusses some best practices and how to stay out of trouble.
November 30, 2021
5 Reasons Going RIA Beats the IBD ModelIt's not an accident that the RIA channel is the fastest growing.
November 30, 2021
FINRA Bars Ex-Morgan Stanley Rep Accused of Using Client Credit Line for HimselfThe former broker also faced multiple client complaints alleging he misappropriated funds or made unauthorized withdrawals, FINRA says.
November 29, 2021
4 Big FINRA Rule Changes in 2021The BD regulator has been busy updating its rule book, and more changes are expected in 2022.
November 29, 2021
Commonwealth Plans Big Tech Investments as More of Its Advisors Ditch FINRA"Commonwealth actually looks more like a national RIA than it does a traditional broker-dealer," CEO Wayne Bloom tells ThinkAdvisor.
November 29, 2021
Raymond James Hires Edward Jones Exec to Lead RecruitingRobert Moseley will lead the advisor recruiting platform for the firm, which had close to 8,500 advisors Sept. 30.
November 24, 2021
Best & Worst Performing Robo-Advisors Over the Past 5 YearsThe 60/40 portfolio is not dead in the robo-advisor space.
November 24, 2021
'The Changing Complexion of Wealth': Attracting More Diverse Talent at MerrillThe wealth management exec says the industry must "take steps to make this profession more appealing for talent we wish to attract."