Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
4 Steps for Turning Ideas Into Action
By Angie HerbersUnless you put your thoughts into practice and see how well they actually work, they can't benefit your business.
November 17, 2020
'One Bad Rule After Another': Top Democrat Takes SEC's Clayton to Task"It doesn't seem like you have any way to tell if this rule will help at all," Sen. Sherrod Brown said of Reg BI.
November 17, 2020
Advisor Group Recruits $503M LPL TeamVeater Financial Group and its four advisors are now part of SagePoint Financial in Fresno, California.
November 17, 2020
Advisor Group, Cetera and Other BDs to Pay $3M Over Sales of Risky ETPsThe firms' reps made unsuitable recommendations of volatility-linked products, the SEC said.
November 16, 2020
Why Fidelity's New Advisor Platform Is a Big DealNo other firm offers anything quite like FMAX, but that will change quickly, industry watchers tell ThinkAdvisor.
November 16, 2020
$2B Morgan Stanley Team Jumps to LPLThey will align with the hybrid RIA Gladstone Wealth Partners.
November 16, 2020
Fidelity Rolls Out Comprehensive Wealth Platform for AdvisorsThe Fidelity Managed Account Xchange (FMAX) is available to RIAs, family offices and BDs.
November 13, 2020
Raymond James Launches Wealth-Focused Coaching ProgramThe news comes two months after the firm rolled out programs focused on Regulation Best Interest and its Black Financial Advisors Network.