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Bruce Kelly

Senior Columnist, Independent Broker-Dealers and Wirehouses

Bruce Kellyhttp://www.investmentnews.com/apps/pbcsi.dll/persbilde?Avis=CI&ID=BKELLY&maxw=220&cci_ts=20180620110206

A former middle school and high school English teacher, Bruce Kelly started at InvestmentNews in 2000 as the brokerage reporter after a two-year stint at sister publication Pensions & Investments. He writes a bi-weekly, award winning column, On Advice, and covers the independent broker-dealer industry.

Recent Articles

Finra to overhaul broker information system, cut compliance costs for broker-dealers

Jun 14, 2018

The overhaul of the information system is intended to cut compliance costs for firms as well as make the registration and disclosure process more efficient


Advisers with billions in AUM leaving Wall Street

Jun 13, 2018

Merrill Lynch has seen two teams exit recently, each with more than $4 billion in client assets


Head of Securities America gunning for Finra board seat

Jun 13, 2018

James Nagengast is challenging Finra's handpicked nominee, Shelley O'Connor, co-head of wealth management at Morgan Stanley


Former Schorsch REIT reaches $90 million settlement with Vanguard

Jun 12, 2018

The mutual fund giant was the largest shareholder of American Realty Capital Properties Inc. when it reported inflated financial results because of a $23 million accounting mistake


Ex-Waddell & Reed manager finds success recruiting advisers from old firm

Jun 11, 2018

80 advisers at Pennsylvania firm used to be with Waddell & Reed


Conflicts of interest on SEC's radar

Jun 8, 2018

A consistent priority during Securities and Exchange Commission exams is looking at disclosure of conflicts of interest


Hybrids considering dumping Finra and working as RIAs exclusively

Jun 7, 2018

Pershing executive said broker-dealer model has some "challenging dimensions" to it


Demand grows for structured notes

Jun 6, 2018

CAIS Group, a distribution platform for alternatives, cites 40% increase in its structured notes business over the last couple of years


Regulators gunning for brokers and advisers who sold $1.2 billion Ponzi

Jun 6, 2018

Finra and at least one state agency have taken disciplinary action against two brokers and an adviser involved in the Woodbridge real estate scheme


After firms dump protocol, advisers show reluctance to make a move

Jun 5, 2018

Observers say there's fear of potential lawsuits that quash contact with clients when a broker or adviser seeks a new employer

View all stories by Bruce »

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