Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Meet the Top Broker-Dealers of 2019
By Janet Levaux | Ginger SzalaIn the age of Amazon, the top independent BDs say putting their advisors first helps them survive and thrive.
August 27, 2019
What Keeps Top BD Execs Up at Night?"A young advisor's motto is 'I'm not your parents' advisor.' Think about that!" said Lon Dolber.
August 27, 2019
Fiduciary Rule Questions Linger as Trump Picks Scalia to Head LaborIndustry attorneys weigh in on the likelihood of a DOL fiduciary rule being issued this year.
August 27, 2019
Wells Fargo Hit With $450K FineBay State regulators gave the bank 159 warnings over the need to register agents and supervisors.
August 23, 2019
Why Wealthfront's Latest Deal Won't Impact AdvisorsBut the hybrid-robo transaction could lead to "rapid escalation" in subscription pricing battles, Michael Kitces says.
August 22, 2019
American Portfolios Adds New General Counsel From UBSCraig Vollono, who also has worked for AIG and Merrill Lynch, replaces retiring GC Frank Tauches.
August 22, 2019
Ladenburg: Turnkey Retirement Plans Now Available to Advisor Business ClientsNo longer deterred by hurdles, plan sponsors now are able to access the Qui(k) program through their affiliated advisor.
August 22, 2019
Captrust Buying $3.7B South Texas GroupThe Texas firm's founder died of cancer in April.