Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How 'Being Bold' Propelled Advisor's Career
By Ginger SzalaBayou-born Dawn Dupre overcame many obstacles to become a top wealth manager in the City of Brotherly Love.
March 24, 2020
Vote Now for the 2020 IA25Your input on the 25 industry leaders you're turning to for insights and inspiration is needed by April 6.
March 23, 2020
Raymond James Stops In-Person Recruiting, Puts Some Advisor Moves on HoldThe news comes about 10 days after the firm decided to limit visits to the home office and branches.
March 23, 2020
FINRA Extends Exam Window, Annual Report FilingFINRA recently released a FAQ in light of the coronavirus pandemic.
March 19, 2020
NASAA Opposes SEC Plan to Expand Accredited Investor DefinitionState securities regulators say the new definition would fail to protect investors.
March 19, 2020
LPL Adds Service Hours for RepsSome 70% of employees are working from home, and the IBD has canceled or pushed back events set for March and April.
March 19, 2020
Succession Planning in a Pandemic: 6 Steps to Take NowWhat happens if you need to be hospitalized for an extended period of time?
March 19, 2020
FINRA Bars Ex-Kestra Rep Who Refused to Testify in His Fraud CaseThe ex-broker was suspected of making fraudulent and unauthorized transactions in customers' accounts, the regulator says.