Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How Advisors Can Help Prevent Wealthy Families From Losing It All
By Bernice NapachIn his book, More Than Money, Michael Cole, president of Ascent Private Capital Management, tells how advisors can retain clients over generations.
June 26, 2017
3 Big DOL Fiduciary Pain Points for AdvisorsAn Aite Group survey of advisors asks how difficult they think various tasks will be under the fiduciary rule.
June 23, 2017
Here Are the Wealth Managers With the Best SEO RankingsHearsay and Moz gathered data based on the use of phrases like financial advisor, financial planning and wealth management and tracked the results.
June 22, 2017
Raymond James, Dynasty Add Big Wirehouse Teams: Recruiting RoundupMeanwhile, Cetera attracts a group with 55 indie advisors in Southern California.
June 22, 2017
Victor Fetter Is Out at LPL; Former AmEx, eBay Exec Is InThe IBD taps Scott Seese for the CIO post in a move that one recruiter calls "a big deal."
June 22, 2017
FSI Shares Views, Case Studies on Outside Business ActivitiesMore input from independent advisors and brokers-dealers is also sought by the Financial Services Institute.
June 22, 2017
Wall Street’s Trade Group Chides FINRA for Regulation by EnforcementSIFMA also criticizes FINRA for not gathering enough cost-benefit data, "resulting in unworkable or unnecessarily costly rules."
June 21, 2017
Board to Death: Is the CFP Board’s New Fiduciary Standard Really Better Than No Standard at All?Back in 2008, the CFP Board announced that it was revising its professional standards to include a requirement that CFPs act as fiduciaries for their clients.