Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC to Take Up Long-Awaited Accredited Investor Definition Changes
By Melanie WaddellAnna Pinedo, partner with Mayer Brown, expects one change will be that various FINRA broker-dealer licenses will be added regardless of net income/net worth.
August 20, 2020
FINRA Warns of Fake Broker WebsitesThe sites use reps' names and other information and may appear to be their personal sites.
August 20, 2020
LPL's Burt White: Do More Than Apply 'Digital Lipstick'The BD executive gave details on coming updates and new tools for managing meetings, electronic signatures and more.
August 20, 2020
Half of Advisors Thinking of Dumping Their Firm for Better Tech: SurveyNearly 8 in 10 advisors said in a Broadridge survey that they'd lost business due to inadequate technology.
August 20, 2020
First Republic Nabs $2.5B Merrill GroupMeanwhile, the Thundering Herd also loses advisors to UBS and Wells Fargo FiNet.
August 20, 2020
LPL Pledges $1B to Put Advisors on Growth 'Superhighway'The broker-dealer wants its advice business to work more like Amazon, Netflix and eBay to outperform "institutional" rivals like Schwab, says CEO Dan Arnold.
August 19, 2020
FSI Honors Investor, Industry AdvocatesThe industry group's two new awards recognize 20 individuals working in the independent advisor space.
August 18, 2020
LPL Advisors to Get Slack Messaging ToolsThe new messaging system will make it easier for advisory team members to communicate wherever they are, LPL says.