Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Proposes Making Brokers Reveal Where Client Orders Go
By Annie Massa, Ben Bain, BloombergRegulator seeks comment on ramped-up broker disclosure rules; institutions would get more information on how orders filled.
July 14, 2016
Betterment Assets Top $5 Billion; Firm Hires Its First CFOBetterment CEO Jon Stein says assets are five times what they were just 18 months ago.
July 14, 2016
JPMorgan Beats Estimates on Higher Sales: Q2 EarningsThe bank, which has 2,620 advisors, saw its profits fall slightly from last year to $6.2 billion.
July 14, 2016
Advisors Must Tell Clients About Their Robo Use, State Regulator SaysAdvisors must disclose to clients when they use robo platforms and what services those platforms provide, Commonwealth Secretary William Galvin of Massachusetts says.
July 14, 2016
Recruiting Roundup: Dynasty Adds Group From LebenthalMeanwhile, several wirehouse reps help form a new RIA in Cleveland; Betterment adds a CFO and hits $5 billion in AUM.
July 13, 2016
Cetera Grabs LPL Exec to Fill CFO SlotJeff Buchheister comes to the IBD group just two months after former LPL President Robert Moore joined the board.
July 13, 2016
5 Strategies to Attract Millennial AdvisorsHartford Funds convened a roundtable of millennial advisors to discuss what the industry needs to do to attract them.
July 12, 2016
6 Keys to Effective Selling for Independent AdvisorsBreakaway brokers know how to sell, and once youre over your misguided aversion to sales, you can, too.