Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Bars Ex-Royal Alliance Rep Accused of Misappropriating Client's Funds
By Jeff BermanThe former broker at the Advisor Group-owned firm also allegedly refused to provide documents and info requested by FINRA, the self-regulating group said.
July 08, 2021
Firm Culture, Leadership Are Female Advisors' Biggest Hurdles: StudyResearch from Carson Group and Hidden Insights Group reveals the main challenges women face in pursuing this career.
July 07, 2021
Make FINRA Exams Stick Longer: Life Industry CommenterInsurance groups also want to see more support for languages other than English.
July 07, 2021
Best & Worst BDs for Advisors: J.D. Power — 2021Employee reps are less satisfied with their BDs than are their independent counterparts, the research group's latest poll finds.
July 07, 2021
Advisor Group Adds Kimmell From RBC to Head Business DevelopmentShe will oversee recruitment, transitions and onboarding across Advisor Group's network of six firms.
July 06, 2021
How 'Power Phrases' Make You Memorable to ProspectsAdvisor Leibel Sternbach tells ThinkAdvisor how to craft a message that attracts attention — over and over again.
July 06, 2021
South Carolina Moves to Stop Elder Financial AbuseThe legislation, supported by LPL Financial, is based on NASAA's Model Act of 2016.
July 06, 2021
FINRA Bars Ex-Broker Whose Assistant Took CE Classes for HimThe former HTK rep testified that he "blindly forwarded" emails about the training to his assistant due to heavy sales demands.