Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Which Firms Are Losing Advisors to UBS?
By Janet LevauxUBS recently added advisors with a total of $12.5 billion in assets and $29.6 million in yearly fees & commissions.
January 27, 2020
Fidelity Adds Features to Advisor Tech PlatformAmong them, a fully digital account onboarding experience in Wealthscape.
January 24, 2020
Busy Conference Week for ETF Fans, IBD Execs and RIAsIndustry events coming up include Inside ETFs, FSI OneVoice and TD Ameritrade Institutional's National LINC.
January 24, 2020
Wealth Management M&A on a Tear, and Mutual Funds Are Next: PwCTwenty percent of mutual fund managers may be gone in the next five years, according to the consultancy.
January 24, 2020
RIA Consolidation Is Officially HereAlso, 2020 should be the first year in which the industry likely will have more independent advisors than employee advisors, says Brian Hamburger.
January 24, 2020
New Year Brings Renewed Fiduciary BattleThe SEC best-interest rule faces its day in court as release of Labor's fiduciary rule is imminent.
January 24, 2020
Ron Carson Wins Expungement of $20K Client ComplaintThe client complained about mutual fund charges; the arbitrator agreed with Carson's lawyer that she had no case.
January 24, 2020
Don't Sleep on Reg BI Compliance, Industry Officials WarnDespite legal challenges, the obligations Reg BI imposes on financial firms "are real and immediate," says Bates Research.