Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Launches Exam Sweep of RIAs’, Broker-Dealers’ Share Class Picks
By Melanie WaddellThe sweep will identify conflicts of interest in recommendations for mutual fund and 529 plan share classes with substantial loads or distribution fees.
July 26, 2016
A Summer of Broker-Dealer DiscontentFrom fines to financial pressure and recruiting woes, employee-advisor firms are facing significant challenges this summer.
July 26, 2016
Is Private Equity IBDs’ Savior or Sorcerer?Several years ago, I attended a third-party recruiter gathering hosted by an insurance-owned broker-dealer that was working to attract advisors.
July 22, 2016
HealthCare.gov wants Web brokers' names on all printout pagesA recent enrollment update also includes a major new section on 1095-A coverage notice problems.
July 21, 2016
Recruiting Roundup: RBC Wealth Adds 2 Teams From RivalsMeanwhile, Cetera, Deutsche Bank and Snowden Lane say they have picked up new advisors as well.
July 20, 2016
Raymond James Tops Estimates, Reports Strong Revenue: Q2 EarningsPlus, the Private Client Group's fee-based business is growing 11% year over year, according to CEO Paul Reilly.
July 19, 2016
FSI Elects Valerie Brown, Richard Bryant to 2017 BoardThe board also elected five of its directors to leadership positions.
July 19, 2016
Wells Fargo Plans Pilot Robo-Advisor for Early 2017 LaunchLatest Wells Fargo/Gallup survey found that investors trust the advisor who's tech-savvy more than one who's not. Also, only 5% of investors use robo-services.