Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Earnings Decline but Revenues, Assets Rise
By Bernice NapachThe IBD paid $11 million in regulatory charges for the quarter but expects such costs will decline later in '15.
April 27, 2015
Senate Democrats Push Back on DOL Fiduciary PlanThe Obama administration plan to tighten rules on brokers is facing blowback from the presidents own party.
April 23, 2015
Raymond James Hits Revenue Milestone as Profits Improve 7% in Fiscal Q2Total number of advisors in the Private Client Group reached record 6,384, but assets grew faster than headcount.
April 23, 2015
An Overlooked Benefit of Going Independent: Quality of LifeFreeing up time for a balanced life is invaluable, but too many IBDs send a message to reps thats not much different than the wirehouses.
April 22, 2015
Advisors Leaning More on Product Providers’ Mobile SitesNew report offers perspective on what advisors wantand often dont get.
April 22, 2015
Making brokers work for clients is way past dueThree out of four U.S. investors mistakenly think that financial advisors at brokerage firms are required to put clients' interests first.
April 22, 2015
Making brokers work for clients is way past dueThree out of four U.S. investors mistakenly think that financial advisors at brokerage firms are required to put clients' interests first.
April 21, 2015
Raymond James Keeps Up Social Media PushThe firm says close to two-thirds of reps are up and running on Facebook, Twitter and LinkedIn.