Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
David Blanchett's 6 Predictions for Retirement Planning in 2021
By David M. BlanchettAfter a doozy of a year, here's what a "new normal" might look like on the retirement income front.
December 11, 2020
How Did Advisor Portfolios Perform After COVID-19 Hit? Very Well, Says InvescoThe firm's study of several hundred portfolios found that many advisors shifted allocations to investments that outperformed.
December 11, 2020
Wells Fargo Raises Monthly Comp Hurdle for 2021It's the first time since 2014 that the firm has boosted the revenue its brokers must take in before earning a higher payout rate.
December 10, 2020
Envestnet Introduces New Retirement Plan Solutions for Advisors: Tech RoundupAlso, Advyzon adds a prospect portal and mobile app to its digital tool chest.
December 10, 2020
FINRA Seeks SEC OK for New CE RequirementsFINRA also wants approval for a new plan allowing individuals to challenge "statutory disqualification."
December 10, 2020
Why Raymond James' Purchase of $35B Retirement Plan Firm Is a 'Strategic Fit'It gives the firm "a new channel and capability" as the industry grapples with dwindling basis points, says consultant Tim Welsh.
December 08, 2020
To Boost Pro Bono Service, Advice Industry Must Set the Tone at the TopThe CFP Board should recommend planners do pro bono service every year.
December 08, 2020
LPL Eyes Midwest Base With Waddell & Reed DealThe broker-dealer also expects little to no repapering for W&R clients and that it will retain 70%-plus of W&R's 921 advisors.