Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
RBC Nabs $1.4B Wells Fargo Team: Recruiting Roundup
By Janet LevauxMeanwhile, Raymond James adds wirehouse reps with $198 million in assets, while LPL Financial picks up teams from rivals with over $1.3 billion.
October 23, 2018
LPL Drops Asset Minimum for New Reps, But ...Advisors looking to join the firm's hybrid RIA and bringing less than $25 million will be charged up to 5 basis points.
October 23, 2018
Cetera Beefs Up Tech PlatformCetera Financial Group has launched the Advisor II program, an addition to its My Advice Architect technology program that provides advisors with flexibility…
October 23, 2018
Why the Workplace Gender Gap Should Matter to AdvisorsGoldman Sachs Global Markets Institute reports on the extent of the salary gap and what companies should do.
October 22, 2018
RIA M&A on Track for Another Record YearEchelon Partners and DeVoe & Co. report on Q3 deals and their outlook for 2018.
October 22, 2018
FINRA's Amended CAB Rule to Be Implemented Nov. 19The rule change reflects FinCEN's adoption of a final rule on customer due diligence.
October 22, 2018
Could Schwab Be Next With 'Free' Funds?Speculation is strong after CEO Walt Bettinger spoke about the firm's competitive strategy during its third-quarter earnings call.
October 22, 2018
Oppenheimer & Co. Taps New Leader for Private-Client UnitEd Harrington, currently head of sales and marketing for Oppenheimer Asset Management, will replace Mark Whaley.