Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
What Killing of Top Iranian General Means for Markets, Oil
By Janet Levaux"There's a reason, finally, for caution in the stock market," Greg Valliere says.
December 31, 2019
What Advisors Expect From Markets, Clients in 2020 and BeyondAn SEI survey finds that few prioritize improving the investor experience as a top goal for the year ahead.
December 30, 2019
Oppenheimer to Pay $4.7M Over Early UIT RolloversFINRA ordered the firm to pay a fine and restitution.
December 27, 2019
Next Financial Fined Over Nontraded REIT SalesMassachusetts regulators investigated after receiving a complaint from a retired veteran who has requested "conservative investments."
December 27, 2019
'Choppy Year' Expected for Wirehouses, Other BDs in 2020Industry analysts share their (cautious) expectations for earnings, revenue growth and stock performance.
December 26, 2019
Raymond James Adds Wirehouse, Other Reps With $970MThe firm brings on advisors from Merrill Lynch, UBS and USAA, as well as a new bank-based wealth group.
December 26, 2019
Wealth Enhancement Buying $990M Investment GroupMeanwhile, RIA Mercer Global Advisors picks up SD Financial Pathways, which works with $100 million.
December 26, 2019
Will the Lull in Advisor Recruiting Last?Recruiters talk to ThinkAdvisor about the latest trends in advisor movement and what lies ahead in the indie and wirehouse channels.