Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wells Fargo, Hearsay Social Roll Out New Tech Tools
By Janet LevauxThe wirehouse boosts reps' tablet power, while the social media tech firm introduces a "universal" supervision solution.
June 03, 2015
Raymond James Lands Its Biggest Recruit Ever, From Morgan StanleyThe Americas Group, based in South Florida, manages some $2.4 billion for retail and institutional clients.
June 03, 2015
11 Best & Worst 529 College Savings Plans of 2015: MorningstarThinkAdvisor looks at the college savings plans rated Gold, Silver and, well, Negative.
June 02, 2015
Voting Begins for 25th Annual Broker-Dealers of the YearReps of independent broker-dealers can cast their ballots, rating how wellor poorlytheir own BDs behave in annual Investment Advisor reader poll.
June 01, 2015
The 2015 Broker-Dealer Presidents PollBroker-dealer presidents are fierce competitors, and while they may cooperate in areas of advocacyas they do notably as members of the Financial Services Institutethey all want nearly the same representatives.
June 01, 2015
LPL Names Former E-Trade Exec CFOThe firm is filling a slot vacated by Dan Arnold in early May when he replaced Robert Moore as president.
June 01, 2015
Barclays U.S. Wealth May Fetch $250 Million, Credit Suisse SaysStifel Financial is reportedly in a deal to acquire the firm's roughly 250 financial advisors.
June 01, 2015
HighTower Group to Target Athletes, CelebritiesSome advisors, though, say it's better to focus on pro athletes from a single sport rather than targeting all VIPs.