Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
12 Best & Worst Broker-Dealers: Q4 Earnings, 2017
By Janet LevauxThe quarter's results for many firms included one-time charges related to the Tax Cuts & Jobs Act.
February 15, 2018
Scottrade Charged Under DOL Fiduciary Rule in MassachusettsThe charge, involving sales contests, appears to be the first state-level action involving the Labor rule.
February 14, 2018
Securities America Picks Up Two Groups With $3.5BThe new affiliates, each of which has more than 30 advisors, formerly worked with NPH broker-dealers.
February 14, 2018
FINRA Seeks Tougher Rules on Brokers Switching Firms With Unpaid Arb ClaimsProposed changes would allow FINRA to presumptively deny a new applicant subject to pending arbitration claims
February 14, 2018
Sweetheart Scams & Retirees: What Advisors Need to KnowMichael Bruemmer of Experian talks to ThinkAdvisor about these shockingly common scams, which most frequently target retirees.
February 13, 2018
Cetera Announces Reorg, Taps New LeadersCetera Financial Group says it is reorganizing its businesses into two channels.
February 12, 2018
Kestra Will Offer eMoney Advisor’s Platform to Its Indie AdvisorsThe Q2 launch of the integrated client portal will facilitate more collaborative relationships, Kestra says.
February 12, 2018
Should You Plan on Your Clients Living to 100?Setting life expectancy is a crucial step in building a financial plan. Harold Evensky, Carolyn McClanahan and others weigh in on what to consider.