Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
$500M Wells Fargo Team Moves to RBC Wealth: Recruiting Roundup
By Janet LevauxMeanwhile, both Merrill Lynch and HighTower Advisors announce new reps and executive appointments.
November 02, 2016
TD Ameritrade Unveils All-Digital Robo-AdvisoryThe BD is offering the new service to existing clients currently and expects to launch it nationally in 2017.
November 01, 2016
Cambridge Says Its Advisors Will Keep Commission-Based AccountsThe IBD is one of several firms to announce that its retirement accounts will include commissions, despite the coming DOL rule.
November 01, 2016
Broker-Dealer INVEST Taps New Compliance ChiefThe IBD, part of National Planning Holdings, brings on Jason Albino, formerly with Penn Mutual Life.
November 01, 2016
5 Best Asset Managers for Tech-Minded AdvisorsAccording to a report from DST kasina, less than 20% of asset managers provide the detailed performance data that 79% of advisors desire.
October 31, 2016
Advisor Social Media Use Grows, as Do the Different Ways It’s UsedWhich platforms are used and how often depend on individual firms, advisors noted at a SIFMA forum, which could change when FINRA issues new guidance.
October 28, 2016
FINRA Sweeps Broker-Dealers’ Cross-Selling PracticesFINRA focused on nature, scope of BDs cross-selling activities and whether they are adequately supervised.
October 27, 2016
Baird, RBC Wealth Add Advisors From Wells Fargo: Recruiting RoundupMeanwhile, Raymond James picks up a $1.5 million team from UBS in St. Louis.