Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Janney Nabs Wells Fargo Exec as Recruiting Chief
By Janet LevauxIn the third quarter, Janney's Private Client Group added the largest number of advisors in a single quarter since 2017.
October 25, 2021
Democrats Draw Up Billionaire-Tax Plan as Corporate Hike FadesSenate Finance Committee Chair Ron Wyden plans to unveil a new tax on the unrealized capital gains of the ultra wealthy this week.
October 22, 2021
Kitces: Schwab 'Declaring War on Funds' With Direct Indexing PlatformMichael Kitces' remark touched off a debate among advisors on the pros and cons of direct indexing.
October 22, 2021
Powell: 'I Do Think It's Time to Taper'Although the Fed chairman, is concerned about rising inflation he doesn't think it's time to raise interest rates.
October 22, 2021
FINRA Mulls Update to Complex-Product RulesRules around qualifications for options traders, for instance, pre-date the rise of DIY investing, CEO Cook said.
October 21, 2021
Schwab: What Advisors Can Expect From TD Ameritrade IntegrationTD Ameritrade client accounts and assets won't be moved over to Schwab until the second half of 2023.
October 21, 2021
Raymond James Rolls Out New Advisor Portal: Tech RoundupAlso, TD Bank has launched a robo-advice platform and plans to hire more advisors.
October 21, 2021
How Advisors Can Guide a Client's Whole Financial LifeForward-thinking financial advisors are helping clients tie everything together so they can make informed decisions.