Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ameriprise Weighs Adding Advisors as Regulation Squeezes Rivals
By Katherine ChiglinskyDOL fiduciary rule opens up opportunities, CEO says; firm has devoted about 400 people to deal with its impact.
April 27, 2016
Chris Paulitz: FSI's Quiet Force — The 2016 IA 25The face of FSI is clearly Dale Brown, but theres been another consistent, knowledgeable and effective force helping FSI grow its membership and influence.
April 27, 2016
Raymond James CEO: Deutsche Deal ‘Accelerates Shifts’ in HNW SpaceCEO Paul Reilly also explains why and how the DOL fiduciary rule is frustrating, entailing costs across the industry.
April 27, 2016
Recruiting Roundup: Royal Alliance Adds 2 Teams; Merrill Names Market ExecsMeanwhile, Focus Financial says two partner firms have expanded their operations.
April 27, 2016
Fee-Only Fiduciary Confusion From the CFP BoardA reader's use of the CFP Board as the poster boy for run-amok regulation over seemingly nebulous definitions, like fee-only, is sobering.
April 26, 2016
Cetera Launches DOL Fiduciary Rule Survival Kit for AdvisorsA new platform from Cetera Financial Group will help advisors rapidly develop action plans to incorporate the DOLs updated fiduciary standard.
April 26, 2016
DOL Fiduciary Means Higher Costs, Robo Exploration: Raymond James ExecIndependent channel head Scott Curtis says many technology options are on the table but that the firm will not "disintermediate" its advisors.
April 25, 2016
Top Portfolio Products: New ETFs Reflect Social Media Buzz, Catholic ValuesThe latest ETF offerings include one that takes its direction from the buzz on social media and another that follows guidelines from the Catholic Church.