Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Stifel Welcomes 8 Former Wells Fargo Advisors
By Marlene SatterThe advisors had a combined $1.44 billion in client assets.
November 15, 2018
Commonwealth Rolls Out New Financial Planning Tools With RightCapitalAdvisors can show client goals in new ways that run "the full gamut of planning from simple to advanced," according to one executive.
November 15, 2018
Cetera Adds Program Manager From LPLBrian Neyland was recognized by Bank Investment Consultant magazine as the No. 4 program manager nationwide in 2017.
November 14, 2018
LPL Picks Up $410M Reps from Wells Fargo, Cetera: Recruiting RoundupMeanwhile, Ameriprise, Hilliard Lyons, Janney Montgomery Scott and Raymond James add reps from rivals; RIA Provise Management opens a new office in Tampa.
November 14, 2018
SEC Ruling Against Southridge CCO Could Have Chilling EffectThe SEC upheld sanctions levied by the Financial Industry Regulatory Authority against a chief compliance officer.
November 14, 2018
Stifel Picks Up 6 Advisors With $642MThe broker-dealer adds reps from Moors & Cabot, Morgan Stanley and Raymond James.
November 14, 2018
SEC's EtherDelta Decision Could Be Fodder for Court ActionsThe SEC's Nov. 8 ruling could prompt "a well-funded party" to ultimately challenge the SEC.
November 13, 2018
AssetMark Launches Digital Investment Management and Planning PlatformThe WealthBuilder platform helps advisors streamline and scale their businesses while helping clients plan, track and meet goals.