Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Vanguard, TD Ameritrade Cheer DOL’s Move to Delay Rule
By Bernice NapachThe CFP Board, however, says the delay is unnecessary.
August 08, 2017
Advisors Focus on Markets and Downside Protection: FidelityThe latest Fidelity Advisor Investment Pulse also finds that advisors are far less concerned about interest rates.
August 04, 2017
Cappex.com Launches Free Multi-College Application PlatformStudents can apply to multiple participating colleges at no cost.
August 03, 2017
A Look Inside LPL’s DOL Fiduciary StrategyWhether the rule is enforced Jan. 1 or not, the IBD will go forward with its new compliance tools, LPL's Bill Morrissey told ThinkAdvisor.
August 02, 2017
Former Morgan Stanley, Advisor Group Execs Launch New Firm, Buy 2 BDsThe new firm, Atria Wealth Solutions, will be led by Doug Ketterer, Eugene Elias and Kevin Beard.
August 02, 2017
LPL Shares Q2 Recruiting Update, Sees Less DOL-Related UncertaintyCEO Dan Arnold discusses why the independent broker-dealer is upbeat on its recruiting pipeline for the rest of the year.
August 01, 2017
LPL Launching Robo-Advisor This MonthThe digital platform, Guided Wealth Portfolios, already has $14 million in assets and more than 700 clients.
August 01, 2017
SIPC, FINRA to Offer Simpler BD Filing ProcessStarting Sept. 1, firms that currently file annual reports separately with SIPC and FINRA will file just once.