Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James' Wealth Group Boosts Profits 56%
By Janet LevauxThe number of advisors jumps 451 from a year ago to nearly 7,300.
July 26, 2017
Centennial State Sets Cybersecurity ExampleJustin Kapahi, VP at External IT, is excited about new cybersecurity regulations for financial firms that were recently passed in Colorado.
July 25, 2017
$2M Wells Fargo Team Moves to JanneyThe recruiting news comes just days after a scathing report about the bank's release of private information on 50,000 clients and advisors.
July 24, 2017
Seward & Kissel Launches Regulatory Compliance Service: Portfolio ProductsAlso, GuideStone Funds introduces a strategic alternatives fund and USCF launched two three-times leverage oil funds.
July 21, 2017
Morningstar, MMI Launch Sustainable Investing InitiativeThe program is focused on educating financial advisors about ESG investments because an increasing number of clients are demanding them.
July 21, 2017
Ameriprise Adds $463M Employee Team From Merrill LynchThe three new advisors are based in Northern California and come on board with four other professionals.
July 21, 2017
Top-Rated 529 College Savings Plans: Savingforcollege.comThere are 17 plans with top rankings based on their flexibility, costs, investment performance and more.
July 21, 2017
Schwab’s Robo-Related Assets Surge to $19.4B in Q2Meanwhile, TD Ameritrade says its total client assets jumped 20% from last year.