Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
National Planning BD Network Grabs Exec From Rival Cetera
By Janet LevauxJay Vinson makes a switch to NPH, which just tapped a new head for its advisory platform strategy.
September 30, 2016
Ex-Broker Must Pay $600K for ‘Siphoning Money’ From Older Couple: FINRAJerome Krause fraudulently borrowed money from his clients when he was working for First Heartland Capital, FINRA said.
September 29, 2016
Recruiting Roundup: Wells Fargo, Merrill Nab Morgan Stanley RepsMeanwhile Deutsche Bank Wealth Management and MV Financial share news on their latest hires.
September 28, 2016
DOL Fiduciary Has Many Advisors Mulling Career Change: Fidelity SurveyWhile 29% of advisors see a positive impact from the DOL rule, 28% are considering retirement or a career change.
September 28, 2016
Nationwide Says DOL Rule Behind Jefferson National DealNationwide said it struck a deal to buy the Louisville-based Jefferson National, a firm with about $4.7 billion in client assets.
September 27, 2016
Indie Advisors, Firms Create $48B in Economic Output: FSI StudyThe advisors and their work also generate some 482,000 jobs, according to the Financial Services Institute.
September 27, 2016
Securities America Buys $2B Advisor Group, Wraps Up 9th DealThe IBD is adding some 67 advisors who produce $11 million in yearly revenue near Rochester, New York.
September 27, 2016
Advisors, It Pays to Thank Clients — Consistently: Janus LabsThose who express gratitude regularly and systematically have significantly higher AUM than those who do not, Janus finds.