Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
DOL Fiduciary Compliance: Colleen Bell on the Cambridge Approach
By James J. GreenCambridge Investment Research is one independent BD taking a proactive stance in responding to the DOL fiduciary rule. Colleen Bell leads the way.
April 04, 2016
NFP Advisor Services to Be Sold, RenamedThe group, which serves about 1,700 reps, is set to be bought by Stone Point and become Kestra Financial.
April 04, 2016
How to Increase Financial Literacy? Start Young, Train TeachersBy the time students reach college and take on heavy debt loads, valuable lessons have been missed, PwC warns.
April 01, 2016
April Fool's Day comes early with Pfizer press release hoaxIn the fake release, the "company" said it would cease routine price increases.
March 31, 2016
IMCA Members Are Increasingly IndependentIMCA members tend to be independent advisors and consultants who serve families, according to a survey released Wednesday by the organization.
March 30, 2016
NASAA to Launch Senior$afe Program to Fight Elder FraudThe program will help advisors and brokers identify and report potential elder financial fraud.
March 30, 2016
How Daughter’s Death Turned Salon Manager Into an AdvisorAfter the sudden death of her daughter, Jenie Connors wanted a way to take care of her family while giving back.
March 29, 2016
Betterment Snags Another $100 Million in FinancingThe latest round of financing is Betterment's fifth and largest to date, almost as large as all its other rounds of financing combined.