Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Securities America Adds $1.35B Group From LPL: Recruiting Roundup
By Janet LevauxPlus, Woodbury Financial, Ameriprise, LPL, Raymond James and Janney share details on their newest recruits.
October 18, 2017
LPL Grabs Longtime Wells Fargo Exec to Be Chief StrategistJohn Lynch was with Wells Fargo since 1996 and is now based in Charlotte, N.C.
October 17, 2017
Women Invest Like Men but With a Key Difference, Study FindsCapital Groups survey of women shows confidence in their investment decisions but not necessarily the power to execute.
October 17, 2017
Commonwealth Nabs $1.3B NPC TeamThe group comes on board in New York and is led by Michael and Stuart Paris.
October 16, 2017
FINRA Data Shows 15-Year Decline in BDsFINRA just published 15 years of data on the number of broker-dealer reps entering and leaving the industry and of the decline in member firms.
October 16, 2017
Commonwealth CEO Upbeat on DOL Fiduciary, ‘RIA-zation’Wayne Bloom and other execs highlight the growth of the firms indie advisors at a national event in San Diego.
October 12, 2017
Oranj Launches Free Wealth Management Software Product for AdvisorsThe MAX offering includes model portfolios and funds from BlackRock, Direxion, Morningstar, ETF Securities and Frost Investment Advisors.
October 12, 2017
HighTower Nabs $500M JPMorgan Team, $230M Merrill Rep: Recruiting RoundupAlso, Wells Fargo attracts two Morgan Stanley reps with $370 million; Cetera adds new bank client with $225 million.