Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
5 Paths to True Advisor Independence
By Angie HerbersThinking about making a change? Your timing is right, but know what you want first.
August 05, 2020
LPL Rolls Out Employee Advisor ModelThe independent broker-dealer aims to offer W-2 advisors payouts of 50%-70% and access to a nationwide network of offices.
August 05, 2020
Kestra Hires JPMorgan Exec as Chief Information OfficerNick Harness moves to the firm after more than two decades with Wall Street firms, including Morgan Stanley.
August 04, 2020
13 Best & Worst Broker-Dealers: Q2 Earnings, 2020The wirehouses, with parent firms increasing loan-loss provisions, have close to 53,000 total advisors and $8.4 trillion of assets.
August 03, 2020
What's Next in Reg BI Compliance?Look for the SEC to release frequently asked questions guidance by year-end, attorney Valerie Mirko says.
July 31, 2020
Broadridge Starts Fi360 Remote Exams: Tech RoundupAlso, Morningstar adds a virtual reality option for upcoming online conference.
July 31, 2020
LPL, Raymond James See Strong Recruiting as Profits WeakenThese results came as the industry's overall advisor movement was "down by over 30% from a year ago," said LPL CEO Dan Arnold.
July 31, 2020
April Rudin: Pandemic Forcing Big Shift in Advice IndustryThe financial industry trends forecaster tells ThinkAdvisor what advisors should do now to capitalize on this shift.