Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James to Grab $5B Clearing Client From Pershing
By Janet LevauxIt also recruited a husband-and-wife team from Merrill Lynch with some $160 million in assets.
October 09, 2017
LPL Makes Retirement Plan Push With FAsRetirement Partners head Bill Beardsley and national sales chief Andy Kalbaugh are hoping to bring more LPL reps and ex-NPH advisors into the fold.
October 08, 2017
Top 3 Ways BDs Can Help FAs With DOL-Related Platform ShiftsBroker-dealers should help advisors with new technology, criteria for picking third-party asset managers and improved planning tools.
October 06, 2017
Jordan Belfort, the ‘Wolf of Wall Street,’ Offers (Ethical) Sales Tips for AdvisorsBelfort tells ThinkAdvisor about his Straight Line sales system and how his drug-addled past was actually worse than in the movie.
October 06, 2017
Indie BD Reps Most Likely to Outsource Model Portfolios: CerulliAdvisors making their own investment decisions increases potential liability for broker-dealers under the DOL fiduciary rule.
October 05, 2017
Former Wells Fargo Exec Acquires Part of $800M FiNet TeamIn other news, Focus Financial helps two partner firms complete merger deals.
October 05, 2017
How to Attract More Female Advisors and ClientsThis challenge should be top of mind for financial advisory firms, according to some panels at this week's FPA annual conference.
October 05, 2017
6 Personality Traits of the Wealthy and SuccessfulAuthor and financial editor Jean Chatzky discusses what she found from researching 5,000 wealthy and successful people.