Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Honoring Advisors Who Serve(d): Fourth of July, 2016
By Ronald PechtimaldjianThinkAdvisor honors 13 veterans this Fourth of July who served in the armed forces and now serve their clients as financial advisors.
June 30, 2016
4 Useful Hacks for the SEC’s IAPD Disclosure SiteThese IAPD tips can be as valuable to you and your firm as they are to investors checking you out.
June 29, 2016
How a UK Advisor, Strategist Handled BrexitLondon-based Raymond James wealth manager Matthew Hunt and his colleague, Chris Bailey, say their clients arent panicking as "the dust settles."
June 27, 2016
Stifel Sells Independent, Custodial Units of Sterne AgeeThe deal comes about one year after it bought Sterne Agee for $150 million.
June 27, 2016
SIFMA Roiled by Split Over DOL Fiduciary Suit by Wirehouses, Smaller FirmsLarge broker-dealers favored compliance over fighting DOL; Wells Fargo, Morgan Stanley said to have opposed court battle.
June 27, 2016
TrimTabs Loses Management of ETF, Then Files to Launch Its CloneWhat TrimTabs did when AdvisorShares chose another firm to manage the ETF it had designed.
June 24, 2016
Why Betterment Delayed Trading After Brexit Vote"During extraordinary events, we are extraordinarily prudent, a Betterment spokesman said. But are they being overly cautious?
June 24, 2016
Brexit Sends Banks, BDs ReelingAnalysts say that the British vote will hurt the earnings of big banks and BDs, but one contrarian says it's time to buy the sector.