Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
BDs Taking a Hit as More Advisors Choose Independence: Cerulli
By Michael S. FischerA Cerulli report finds that 71% of all advisors, on average, would prefer independent affiliation.
December 27, 2022
Ex-Broker Gets 20 Years in Prison Over Ponzi, COVID-19 Fraud SchemesChristopher Parris took $7.4 million in advance payments for N95 masks he knew he couldn't deliver.
December 27, 2022
Larry Roth to Take Lead Role at New Firm After SPAC MergerHe will be executive chairman after Kingswood Acquisition and Wentworth Management Services combine and go public.
December 27, 2022
Jamie Hopkins on Secure 2.0: What's Overhyped, What's Interesting and What to WatchThe RMD age pushback is "not the most important provision" of the new law, the Carson exec says.
December 22, 2022
Watch for These ETF Trends in 2023: Dave NadigVanguard could overtake BlackRock as the No. 1 ETF provider by April, he tells ThinkAdvisor.
December 21, 2022
On Stage: The LUMINARIES 2022 Awards CeremonyWe spotlight this year's winners, who came dressed to impress at the recent industry recognition event in New York's Lotte Palace Hotel.
December 21, 2022
4 Ways to Add Next-Gen Advisors to Your PracticeHere's how independent offices can hire and nurture the young talent they need to serve new clients and grow.
December 20, 2022
Ex-Merrill Advisor Who Threw Smoothie Catches FINRA's Eye Over Cash TransactionsFINRA says James Iannazzo structured cash transactions in his personal accounts to avoid federal reporting requirements.