Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Kicks Off 25th Annual Women's Event
By Janet LevauxRenée Baker, the firm's new leader of diversity and inclusion, met a crowd of more than 700.
September 09, 2019
XY Planning Network Adds Coaching, Tax Services for AdvisorsSales and compliance coaching, along with financial planning and process consulting, are among the latest offerings.
September 09, 2019
RIAs Predict M&A Surge Will Last Several YearsAlmost 40% of RIA principals report valuations are affecting their decisions to consider a sale, DeVoe & Co. says.
September 09, 2019
Morningstar Launches Goals-Based Software for Planning, InvestmentsGoal Bridge lets advisors connect client goals to planning and investment strategies.
September 06, 2019
FINRA Suitability Rule Likely a 'Non-Factor' Due to Reg BI: AttorneyFINRA can likely bring suitability cases under Reg BI instead, writes Bates Group's Hank Sanchez in a just-released paper.
September 05, 2019
The Dark Side of Broker-Dealer Scale: Pain for AdvisorsBig BDs may tout their "services," but that doesn't mean their service is up to par.
September 05, 2019
Baird, Stifel Nab Wirehouse, Other Reps: Recruiting RoundupMeanwhile, Janney adds advisors from Raymond James in the Carolinas, and RIA Mercer Global Advisors buys a wealth group in Denver.
September 03, 2019
Broadridge's Latest Acquisition Is Financial Database ServicesThe purchase will strengthen Broadridge's advisor compensation capabilities.