Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
$1.6B UBS Advisors Move to Wells Fargo FiNet: Recruiting Roundup
By Janet LevauxMeanwhile, Stifel adds Wells Fargo reps with $540 million and a $935 million Merrill Lynch team.
July 01, 2020
Model Portfolios Lost $500 Billion in Q1: BroadridgeBut their total assets were $3 trillion.
July 01, 2020
Edward Jones' Top Exec: How the Firm Is Managing Pandemic, Boosting DiversityManaging Partner Penny Pennington tells ThinkAdvisor how the firm is handling what she calls a "triple pandemic" — medical, financial and social.
July 01, 2020
FINRA Suspends Ex-Cetera Rep Over Unauthorized Trucking InvestmentThe broker violated FINRA rules by participating in a $30,000 private securities investment without notifying the firm.
July 01, 2020
Cetera Adds Ex-Stifel Recruiting ExecJohn Pierce also worked for Merrill Lynch from 1993 to 2006.
July 01, 2020
7 Ways Buyers Can Stand Out NowIn a seller's market for advisory firms, it pays to separate yourself from the crowd.
July 01, 2020
We Asked, Advisors Answered: How Can the Industry Increase Diversity?Ex-FPA President Frank Paré, Lazetta Rainey Braxton and others gave ThinkAdvisor their recommendations.
July 01, 2020
FINRA Plans Fee Hikes for 2022 and BeyondThe fee increases will be phased in over several years, the regulator says.