Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Recruiting Roundup: UBS Grabs 3 Reps, Raymond James Adds 2 Teams
By Marlene Y. SatterMeanwhile, LPL Financial brings on a new group, which also is affiliating with one of its hybrid RIAs.
November 02, 2015
How to Beat Robos With Stellar ServiceSeth Mattison tells 300 advisors and others at the FSI Advisor Summit that every detail counts in the competitive field of financial advice.
October 30, 2015
What’s Behind LPL’s Lackluster Earnings?CEO Mark Casady and others explain what's hurting the IBD's earnings and what could help turn them around.
October 30, 2015
SEC Finally Issues Equity Crowdfunding RulesThe SEC passed by a 3-1 vote on Friday long-awaited final equity crowdfunding rules and proposed to update rules on intrastate crowdfunding.
October 29, 2015
LPL Beats Q3 Estimates, Plans $500M BuybackProfits improve, but revenue weakens for the group, which plans to be "more efficient," says CEO Casady
October 29, 2015
Recruiting Roundup: UBS Adds 5 Reps; Raymond James Nabs Ex-Wells TeamMeanwhile, US Trust picks up five advisors formerly with JPMorgan; US Bank announces new recruits.
October 27, 2015
TD Ameritrade Meets Q3 Earnings Expectations, Boosts SalesThe brokerage firm now has about $667 billion of client assets, $156 billion of which are in fee-based accounts.
October 23, 2015
Top Portfolio Products: A High Dividend ETF and Climate Change IndexThis week's additions also include a concentrated portfolio of stocks for companies headed by women.