Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
RCAP's Crowdfunding Site: A Smart Move?
By Janet LevauxRCS Capital (RCAP) introduced a platform in September called We Are Crowdfunding that lets accredited investors and others buy public and private offerings online by pooling their resources.
September 25, 2014
Firms Prepping for Climate Change Have Higher ROE: StudyThose S&P 500 firms showed higher ROE and lower earnings volatility, according to a report released Tuesday by CDP.
September 25, 2014
Bruton's Lucia Capital Seals First Deal, Adds $170M in AssetsThe group, led by ex-LPL exec Derek Bruton, acquires client assets and two professionals; plans more purchases.
September 23, 2014
Schorsch’s RCAP Adds Ex-LPL Exec Dwyer in Leadership ShakeupBill Dwyer will be CEO of the Realty Capital Securities unit, while other new additions will give the rapidly growing firm a "deep bench."
September 22, 2014
Ladenburg Thalmann to Acquire Securities Service NetworkAs part of its growing network, Ladenburg Thalmann is now acquiring broker-dealer and registered investment advisor Securities Service Network.
September 22, 2014
FINRA’s Big-Brokerage Loyalty Revealed in New Bonus Plan: LawyerThe proposal, which curtails mandatory disclosures, should "leave no doubt" where FINRAs loyalties lie, lawyer Patrick Burns says; recruiter Jon Henschen argues disclosure is pointless.
September 19, 2014
3 Ways to Attract and Retain Talented AdvisorsFirms that don't provide incentives for talented advisors to stay are at risk of losing them, according to Schwab's 2014 RIA Benchmarking Study.
September 19, 2014
3 Tips to Avoid Social Media Compliance ProblemsNo matter what social media platform advisors use, here are some important tips for staying compliant.