Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fidelity Launches First Model Portfolios With ETFs
By Bernice NapachThe two income-producing portfolios include active and passive mutual funds along with ETFs.
February 06, 2019
ProEquities Forms Partnership for Female AdvisorsBy working with the W Source, the firm's female reps can receive coaching and networking support.
February 04, 2019
Amplify ETFs Launches International Online Retail ETF: Portfolio ProductsAlso, RBC GAM announced fee reductions and a new share class for the Access Capital Community Investment Fund.
February 01, 2019
IFP Gets Thumbs-Up to Launch BDThe breakaway RIA hope to move over 500 advisors to the platform it is building with Pershing from LPL Financial.
February 01, 2019
Stock Exchanges Fire CAT Contractor After DelaysFINRA is said to be taking control of the Consolidated Audit Trail project.
February 01, 2019
Arnold Lays Out 'Large Agenda' for LPL's Service ModelQ4 revenue missed expectations and affiliated advisor headcount dropped from Q3, but CEO Dan Arnold says the firm has a plan.
February 01, 2019
AI Will Transform Surveillance Programs – EventuallyFINRA is in the early stages of using these technologies for surveillance; most firms haven't started.
January 31, 2019
LPL Rolls Out AdvisoryWorld Proposal Tool"We see this as a blowout, not just a touchdown," said LPL's Burt White.