Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
13 Big Fund Firms to Report Active Share to All Investors After NY Probe
By Bernice NapachNew York's attorney general says the change can help investors since the DOL fiduciary rule is no longer being enforced for retirement savings.
April 04, 2018
Sen. Warren Presses Fed Chair Powell on Wells Fargo Remediation PlansWarrren wants Powell to commit to a Board of Governors vote on whether to accept the bank's progress.
April 03, 2018
HD Vest Nabs LPL Exec as Marketing ChiefChau Nguyen Haner, who will work closely with the firm's 4,000 affiliated advisors, had been with the rival broker-dealer since 2009.
April 03, 2018
How Advisors Use Social Media and Why They Should: PutnamThe latest Putnam Social Advisor Survey shows explains the social media imperative for advisors who want to grow their business.
March 29, 2018
Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2018Client satisfaction continues to increase across nearly all full-service broker-dealers, the latest survey finds, but improving loyalty among millennials is a significant challenge.
March 29, 2018
Lincoln Financial Aims to 'Fully Digitize' Financial Planning: ExecPresident David Berkowitz explains why the firm is updating its 2017 platform and working on a 2019 rollout that will include a robo offering.
March 29, 2018
Raymond James Brings on $216M Breakaway Merrill Rep: Recruiting RoundupMeanwhile, Ladenburg Thalmann and Fidelity share their latest recruiting news; Live Oak Bank, FourPointe Consulting and FiComm Partners announce a special workshop series.
March 28, 2018
Betterment for Advisors Adds Flexibility, More ETFs to Core PortfolioThe enhancements allow advisors great ability to customize clients' portfolios on the Betterment platform.