Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Picks Up $1.3M Rep From UBS
By Janet LevauxAlso, Stratos Wealth added two advisors near Columbus, Ohio.
January 13, 2015
An Investor-Friendly Way to Switch Broker-DealersAdvisors can use some creative techniques when telling clients why they changed broker-dealers or custodians. Start with your new firm's financials.
January 13, 2015
SEC’s Top Exam Priorities for 2015: Retirement Savers, Branch OfficesThe regulator also will zero in on reps who offer "a variety" of fee arrangements.
January 12, 2015
Raymond James Adds $1.1M UBS Rep, Ex-RBC TeamMeanwhile, Focus Financial affiliate adds an advisor with some $200 million in assets.
January 12, 2015
ThinkAdvisor’s 2014 Q4 Earnings Calendar for the Finance SectorA list of full-year and fourth-quarter 2014 earnings release dates for companies of interest to financial advisors and investors.
January 06, 2015
Morgan Stanley Picks Up Ex-Merrill Institutional Team in ChicagoRaymond James adds independent RIA group, while HighTower brings on a former UBS group.
December 31, 2014
Raymond James, Ameriprise Add Teams in MidwestThe teams move with close to $400 million in total assets under management, the broker-dealers say.
December 23, 2014
Raymond James Adds 8 Advisors; Margaret Towle Joins MerrillRJ adds advisors from largest credit union in Oregon, while Wells Fargo adds reps in Connecticut and Texas. Towle, formerly of HighTower, joins Merrill.