Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Nabs Morgan Stanley Complex Manager
By Janet LevauxVeteran complex manager Bill Drew will now lead the employee channel in the greater Boston area; meanwhile, the firm moves to acquire 100% of asset manager ClariVest.
February 26, 2019
SEC Advice-Standards Package Likely by Q3; States March AheadWhile the 35-day partial government shutdown "really slowed progress" at the Securities and Exchange Commission
February 26, 2019
Hiring a CEO Means Owner-Advisors Must Let GoOwner advisors can resist a new chief executive officer. But to grow a firm, stepping aside is the best thing they can do.
February 26, 2019
Bill Sharpe Seeks a Better Retirement Income SolutionSharpe, 84, is still finding simple truths that can rock even a veteran's understanding of retirement planning.
February 26, 2019
Regulators Take Aim at Share Class DisclosureAttorneys and compliance experts see the SEC and FINRA crackdowns as a 'big deal' that foretells the demise of 12b-1 fees.
February 26, 2019
Editor's Note: A Wealth of UnderstandingIn rich detail, Michael Finke provides takeaways from his meeting with Bill Sharpe.
February 26, 2019
Future of Advisor Tech in Focus at T3From cloud-based ventures to software for retirement-assessment tools, T3 highlighted the need for best-in-class digital strategies.
February 26, 2019
IBDs, Wirehouses Spotlight Recruiting, M&A News in Q4 ReportsThe performance of many firms improved last year, though total assets and asset flows suffered as the markets hit bumps in the final months of 2018.