Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How to Talk Politics With Clients Ahead of the Election
By Bernice NapachHartford Funds' John Diehl says these chats "can uncover further details on what clients' value ... and ultimately help foster a strong, effective relationship."
September 10, 2020
Commonwealth Still Grappling With SEC Over 12b-1 FeesThe regulator wants more data about revenue sharing, as the firm seeks a protective order.
September 09, 2020
How Much Do Financial Advisors Earn in Different States?The average advisor earns far more in some states than others.
September 09, 2020
Fidelity's National Financial Services to Pay $2.5M to Settle SEC ChargesThe firm and FuelCell Energy failed to deliver final prospectuses to stock investors, the regulator said.
September 09, 2020
Cambridge to Make Advisor Tech 'Cloud Native'The 3,500-advisor BD is working toward "a limited demo for review" later this year, said one executive.
September 08, 2020
JPMorgan Probes Employees' Role in Misuse of Relief FundsThe bank issued about 280,000 loans totaling more than $29 billion, according to SBA data.
September 04, 2020
$1.4B Merrill Team Jumps to RBC WealthThe firm says it has recruited wirehouse and other reps with about $20 billion in assets so far this year.
September 04, 2020
JPMorgan Nabs Vanguard Exec, Plans to Hire Hundreds of Remote AdvisorsThe bank's push into digital advice comes about nine months after it restructured its wealth management operations.