Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Grabs Wells Fargo Advisors’ Tech Chief
By Janet LevauxAnthony Perkins is tapped to be the IBD's head of technology product development.
August 11, 2015
As RCAP Shares Crash, Cetera Recruiting and Retention Could SufferThe firm's stock has plummeted 80% this year; the reorganization news isn't helping.
August 11, 2015
5 Trends Impacting LPL’s Results & IBD SpaceThe independent broker-dealer sees M&As, fiduciary matters and lower sales of alternative products ahead.
August 07, 2015
Dwyer to Move to AR Global in Apollo-RCAP DealThe former LPL executive will continue to lead the wholesale distribution unit that RCAP sold to Apollo.
August 06, 2015
RCAP (Finally) Selling Troubled Wholesale UnitThe news comes as the firm says its alternative product sales are down 65% in Q2.
August 06, 2015
DOL fiduciary rule puts broker-dealers in Catch 22While no fan of the DOL's proposal, Michael Kitces nevertheless points out a damaging flaw in the insurance industry's core argument against it.
August 05, 2015
Sen. Warren Floats Bill to Stop Credit Checks by EmployersThe Equal Employment for All Act would prohibit employers from requiring potential employees to disclose their credit history when applying for a job.