Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James, Ameriprise Keeping Commissions in Retirement Accounts
By Janet LevauxThe two BDs, which have nearly 17,000 advisors, wont relent to DOL fiduciary rule, insisting that investor choice is paramount.
October 26, 2016
Ladenburg Thalmann Hosts Female-Advisor Event for IBDsThe women met in Salt Lake City and heard from Col. Jill Morgenthaler and other VIPs.
October 26, 2016
Ameriprise Misses Estimates, Posts DOL-Related Costs: Q3 EarningsIts reps now have average fees and commissions of $511,000, which is down 1% from last year.
October 26, 2016
Errors of Commission: AUM Fees Are Better BusinessBroker-dealers' decisions to stop offering commission products in retirement accounts reopens the fees-versus-commissions debate.
October 24, 2016
TD Ameritrade, TD Bank Said Near $4B Scottrade DealDeal would combine two of the largest online brokerages; Scottrade now works with about 1,000 RIAs.
October 24, 2016
From Small to Medium: How to Manage Growth FearsIndependent firms' entrepreneurial mindset emerged in the 1980s, when the industry developed two variations on existing business models.
October 24, 2016
Why a Fiduciary Duty MattersDoes a fiduciary duty really make a difference in the quality of the advice that retail investors get?
October 24, 2016
Growing an Advisory Business in a Rapidly Changing IndustryWhile owner-advisors are aware that something is going on in their industry, most have yet to identify the real problem, so their solutions aren't working.