Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Carson Taps American College Prof to Lead New Retirement Effort
By Janet LevauxJamie Hopkins was an associate professor of taxation at The American College of Financial Services.
January 10, 2019
Carson Wealth Nabs $500M Wells Fargo Team: Recruiting RoundupLPL has added a team from Wintrust Investments with $640 million in assets to its hybrid platform.
January 09, 2019
Waters Says Shutdown Is 'Jeopardizing' Markets, InvestorsSEC's skeleton crew is hindering agency's ability to "hold bad actors accountable," Waters said on the House floor.
January 08, 2019
Is SEC's Reg BI Coming in Q1?Attorneys are reading the tea leaves on the likelihood that Reg BI, part of the agency's advice-standards package, will get finalized soon.
January 08, 2019
What's Next for Atria After Buying Next Financial?As industry watchers compare Atria to Cetera, management insists the firm is focused on bringing the right services to its advisors.
January 08, 2019
Atria to Buy BD Next FinancialThe purchase could bring Atria a network of over 1,900 independent advisors with about $65 billion in total assets.
January 07, 2019
$10B Retirement Group Moves From LPL to Triad-Affiliated RIABased in San Diego, Retirement Benefits Group has 15 affiliated offices and 68 advisors who serve more than 580 retirement plans.
January 07, 2019
HighTower Names Bob Oros CEOThe news comes about two months after intense industry speculation that the former HD Vest CEO planned to make the move.