Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Taps Popular UBS Exec for Private Client Post
By Janet LevauxAfter Raymond James announced that Kim Jenson would be COO of the group, coming from UBS, fan mail poured in, group head Tash Elwyn said.
May 01, 2017
Frontrunners: The 2017 IA 25Whatever is happening in the markets or in Washington, there will always be thought leaders and advocates working on advisors behalf.
May 01, 2017
Morningstar to Offer Advisors a New Tool to Evaluate Risk: Portfolio ProductsIn other product news, Ivy enters the passive world with five new index funds.
April 28, 2017
‘No Fee Compression on Our Advisors’: Raymond James CEOPaul Reilly discusses retention, recruiting efforts and compliance issues during the yearly indie advisor event.
April 28, 2017
SEC Fines BlackRock RIA $1.5 MillionThe fine settles a compalint that the BlackRock RIA had operated a Russia ETF without obtaining the correct exemptive relief from the Investment Company Act.
April 27, 2017
New Fannie Mae Policies Help Student Borrowers Get MortgagesThe policy changes reduce the cost of cash-out refis for student loan borrowers.
April 27, 2017
Tax Cuts to Happen in ’17, but Not Reforms: Andy FriedmanAlso at the Raymond James conference, CEO Paul Reilly says cuts could benefit some advisors doing business as S Corps and LLCs.
April 26, 2017
HighTower Adds $500M Group From UBS, Merrill: Recruiting RoundupRBC gets all-female UBS team, LPL attracts hybrid group, Cetera shares board news, and Wells Fargo promotes execs.