Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wells Fargo Q1 Profits Drop 90%
By Janet LevauxThe number of advisors fell by 378 from last year; meanwhile, JPMorgan's net income declined nearly 70%.
April 13, 2020
Fidelity Plans to Hire 2,000 PeopleThe firm is experiencing growing demand for services from existing clients during the COVID-19 pandemic.
April 13, 2020
RIA M&A: Strong in Q1, but COVID-19 Set to Take a TollDeVoe & Co., Echelon and Fidelity share their predictions of what lies ahead for advisor deal-making in 2020.
April 09, 2020
10 Red Flags to Watch When Switching BDsMarket conditions aside, there are many situations that make pursuing a broker-dealer change inappropriate.
April 08, 2020
FINRA to Mirror SEC Reg BI, Form CRS Exam ApproachSelf-regulatory group says it will take action if it observes client harm or conduct violating current suitability rules.
April 07, 2020
How a Top Advisor Is Communicating in a CrisisCatherine Valega cut her teeth on Wall Street and overseas before focusing her work on women and impact investing.
April 07, 2020
Switching BDs in a Pandemic: How One Team Did ItBill Blyth told ThinkAdvisor how his Chicago-based firm navigated a move from Securities America to LPL in March.
April 07, 2020
FINRA Presses Ahead With Bad-Broker CrackdownThe plan would allow a hearing officer to require a BD to adopt heightened supervision for brokers with long disciplinary histories.