Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Recruiter Diamond Consultants Names New President
By Janet Levaux | Jeff BermanThe news comes as the firm surpasses $200 billion mark for assets moved as part of advisor transitions it's facilitated.
January 21, 2021
Commonwealth Targets Breakaways With 'Soft Landing' ProgramServices suite includes human resources, marketing and other support to "ease the transition" for wirehouse advisors going independent.
January 20, 2021
Advisor Group, Cetera Outlooks Upgraded to Stable: Moody'sMoody's cited Advisor Group's handling of the Ladenburg Thalmann integration as a positive.
January 20, 2021
SEC Expected to Shift Focus to Advisors, BDs Under BidenThe SEC under Gensler will shift priorities away from retail investor fraud toward the conduct of institutions, securities lawyers predict.
January 20, 2021
LPL Nabs Microsoft Exec to Lead Advisor SolutionsEd Fandrey will be based in San Diego and report to President & CEO Dan Arnold.
January 19, 2021
Defining 'Best Interest' Will Be a Priority for Gensler's SEC"I can't think of anyone better qualified than Gary" to lead the SEC, former Chairman Arthur Levitt tells ThinkAdvisor.
January 19, 2021
Cetera Adds Riskalyze Solutions CompanywideRiskalyze is providing risk alignment and portfolio analytics solutions to the entire Cetera network at no extra cost to advisors.
January 15, 2021
Jud Mackrill Exits Carson Group to Start Fintech FirmThe executive steps down as Carson's chief marketing officer after two years to co-found Milemarker in South Carolina.