Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Are You a Salesperson or an Advisor?
By Mike PattonThe better we serve our clients, the more referrals we will receive, which leads to business longevity.
February 18, 2016
FINRA to Examine BDs for Conflicts of InterestWith compliance costing the industry $300 billion since 2010, the self-regulator wants BDs to answer questions on "cultural values" in a targeted exam.
February 18, 2016
Brokers International welcomes new PresidentThe announcement comes after William McCarty, the longtime president and CEO of the company, resigned.
February 18, 2016
Brokers International welcomes new PresidentThe announcement comes after William McCarty, the longtime president and CEO of the company, resigned.
February 17, 2016
Where LPL’s Latest Recruits Moved FromIn the fourth quarter, the IBD added 86 advisors with at least $30 million in assets, though net recruiting was weak for the year.
February 17, 2016
The Bright Side of Investor DistrustIf, as a recent poll found, investors are "scared" of working with advisors, that might be a good sign.
February 16, 2016
10 Best & Worst Broker-Dealers: Q4 Earnings, 2015As stock markets hit turbulence, the performance of wealth firms begins to diverge.
February 16, 2016
LPL Shares Bounce Back, but Outlook Is MixedExpectations for the independent broker-dealer have been downgraded by analysts.