Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Carson Group Sees Big Jump in Assets, Partner Firms
By Janet LevauxThe firm roughly doubled in size to 96 partner firms with $7.5 billion of assets in 2018 from 49 firms with $3.1 billion in 2017.
January 23, 2019
Raymond James Beats Estimates as Private Client Sales Jump 10%The firm has 7,815 advisors, which is up two from the prior quarter and 278 from a year earlier.
January 23, 2019
Why Cyber Insurance Is Like the 'Wild Wild West': FinTech Insider"There are also a lot of bad policies out there. Read the fine print of the exclusions list!" says Entreda CEO Sid Yenamandra.
January 23, 2019
Hearsay Adds Instagram to Platform for AdvisorsThe tech firm will review, track and store Instagram content for financial firms, as it does now for content posted on Facebook, Twitter and LinkedIn.
January 23, 2019
FINRA Delivered 'Unprecedented' Processing Volume in 2018FINRA says its "pioneering" cloud strategy allowed the regulator to handle the volume while maintaining vigorous oversight.
January 23, 2019
Raymond James to Buy Investment Bank With Wealth, Asset FocusThe bank, Silver Lane Advisors, will give Raymond James nearly 50 bankers working in the financial services space, including RIA mergers.
January 22, 2019
Payment Tech Supported by Kitces Raises $2M OnlineThe funds raised via crowdfunding will help AdvicePay launch an enterprise version of its technology, which can be used by investor clients to pay advisors directly from checking accounts and by credit card.
January 22, 2019
What's Behind the War on Variable Annuities?Beyond the current fight over Ohio National trailing commissions, it seems that broker-dealers and regulators hate VAs; but for some investor clients, the security they offer makes them lovable.