Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisor Group Rolling Out Fee Cuts, Other Changes
By Jeff BermanTo boost recruiting and other growth, the firm is ending transaction fees for new accounts on Jan. 1 and ticket charges in mid-2021.
November 10, 2020
Smarsh Buys AI Firm to Help RIAs, BDs Spot RisksThe combined company will also help advisors and their firms uncover strategic insights from large volumes of data in real time.
November 10, 2020
Focus Adds $926M Advisor GroupDebra Brede and her team make the move after spending the past 30 years with Commonwealth Financial.
November 10, 2020
15 Pro Athletes Scammed by Financial AdvisorsNBA, NFL and NHL stars earn lots of money quickly, becoming ripe targets for fraudsters.
November 10, 2020
Why It's Time to Review Your Business Continuity PlanThe pandemic has forced businesses to be prepared for any contingency. Is yours up to the challenge?
November 10, 2020
The Schwab-TD Ameritrade Deal Is Finally Here"Despite the purchase of small-advisor friendly TD Ameritrade [by Schwab], there are many advancements in technology and new service model choices, making the opportunities for smaller advisors never better," Tim Welsh explains.
November 10, 2020
SEC Continued With 'Vigor' Despite Pandemic: ClaytonThe agency examined 15% of all RIAs in FY 2020 and wants to hire more examiners next year to help monitor Reg BI, Form CRS compliance.
November 10, 2020
Schwab-TD Ameritrade Deal Creates New 'RIA-lity'With the close of Charles Schwab's $22 billion purchase of TD Ameritrade, we look at what it means for advisors and the overall industry.