Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Investment Center Adds New Advisors, Assets in Q2
By Ginger SzalaNew advisors cite culture as a key reason for joining the independent BD.
July 25, 2018
FINRA Board OKs E-Signature, Custodian ProposalsThe e-signature approval "reflects just how behind the times FINRA is" on technology, recruiter Jon Henschen says.
July 25, 2018
Ladenburg Thalmann Invests in Tax-Automation FirmAccording to the firm, which owns Securities America and other BDs, this move is tied to its recently launched Innovation Lab program.
July 23, 2018
'Raise Your Voice' Campaign Pushes for SEC Reg BI Changes"This [Reg BI] is just regulation gone wrong," said Sheryl Garrett, head of Garrett Financial Planning Network.
July 23, 2018
Meet Edward Jones' FA With the Most AUMJennifer Marcontell tells ThinkAdvisor about why she got into the business, door-to-door prospecting and her love of fly fishing.
July 23, 2018
Cetera Plans Big Changes to Retention BonusesTraditional retention bonuses are "outdated," CEO Robert Moore says.
July 23, 2018
Deutsche Bank Units to Pay $75M to SEC Over ADRsThe units allowed pre-released ADRs to be used for "abusive practices," the SEC said.
July 20, 2018
Carson Group Invests In and Adds $1.1B Texas TeamPinnacle Financial Group, led by Michael David, will change its brand but not its broker-dealer in the process.