Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Introducing No-Transaction-Fee ETFs for Advisors
By Bernice NapachMore than 450 ETFs will be available for no fee on two platforms for advisors.
December 05, 2019
LPL Nabs $350M Ameriprise Team: Recruiting RoundupMeanwhile, Commonwealth picks up a $225 million group from LPL, and Stifel adds a $130 million Merrill rep.
December 04, 2019
Best & Worst Wealth Firms for Mobile Apps: J.D. Power, 2019Study finds that clients want security, simplicity and personalization and find these features inconsistent today.
December 03, 2019
Cetera Taps Antoniades as CEOThe news comes about nine months after Robert "RJ" Moore stepped down from the role.
December 03, 2019
SEC's FAQ on Form CRS Draws Advisor ComplaintsRIAs and BDs are only allowed to prepare one Form CRS to explain multiple products and services.
December 03, 2019
Raymond James Adds Reps From Merrill, UBS and RBCThe veteran advisors join the firm's employee channel in Alabama, Michigan and Wisconsin.
December 02, 2019
Top 5 Ways Indie BDs Can Compete With RIAsIndependent broker-dealers are reinventing their business models to thrive in a rapidly changing industry.
December 02, 2019
Galvin Signs Off on Massachusetts Fiduciary RuleThe rule will now go through a formal comment period and hearing before the regulations can be promulgated, Galvin's office said.