Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
New Beneficial Ownership Rules Around the Corner: Are BDs Ready?
By Andrew E. Bigart, Ed Wilson Jr.Starting May 11, 2018, compliance officers at broker-dealers will have one more responsibility to add to their checklists.
October 26, 2017
Raymond James Has Near-Record Recruiting YearExecs Scott Curtis and Tash Elwyn talk to ThinkAdvisor about why recruiting in the independent and employee channels is strong, with no sign of slowing.
October 26, 2017
Advisor Group Adding Succession, Communications PlatformsIt also formed a council to help address the financial risks of longer lifespans.
October 25, 2017
Ameriprise Tells Analysts It Likes AdvisorsThe company's chairman says he wants to use technology to support advisors, not to replace them.
October 25, 2017
$2B Trilogy Group Transitions From NPH to LPLIn other news, Ameriprise recruits Wells Fargo reps with nearly $370 million in assets.
October 25, 2017
Schwab Shows RIAs How to Stand OutThe many shades of independence can create confusion in the minds of investors, but a new ad campaign aims to resolve this.
October 23, 2017
TD Ameritrade Clients Can Now Trade on Facebook MessengerThe brokerage is also working on extending trading capabilities to other technology platforms including Amazon and Twitter, according to an official.
October 20, 2017
Advisor Charged With Stealing $9M From Elderly Woman’s Foundation: EnforcementMeanwhile, a Massachusetts advisor is accused of steering clients into funds in which he had an interest.