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Bruce Kelly

Senior Columnist, Independent Broker-Dealers and Wirehouses

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Bruce Kellyhttps://www.investmentnews.com/apps/pbcsi.dll/persbilde?Avis=CI&ID=BKELLY&maxw=220&cci_ts=20181017145842

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

Wells-main

Ex-Wells Fargo broker complaint wins class action status in fight over deferred compensation

Oct 16, 2018

Broker alleges he was cheated out of $200,000 in compensation protected by ERISA

Merrill-main

Merrill to continue pay plan that rewards advisers for new clients

Oct 15, 2018

So far in 2018, Merrill Lynch has seen the best performance in this area in the last five years

Wells-main

Wells Fargo loses more reps in Q3; total now more than 1,000 since banking scandal broke

Oct 12, 2018

The firm lost another 152 advisers in the quarter, and total adviser workforce is down 6.7% in past two years

Merger-main

Allianz dumps its IBD

Oct 11, 2018

Advisor Group broker-dealer picks up Questar Capital from Allianz

board-main

Cetera purges board after being bought by Genstar Capital

Oct 11, 2018

Former CEOs of eMoney Advisors and Lincoln Financial Network among those replaced with executives with ties to the new private equity owner

Wells_Fargo

After setting up phony accounts, ex-Wells Fargo broker stole money

Oct 10, 2018

Finra bars Thomas A. Davis, who worked in Hilton Head Island, S.C., for Wells Fargo Bank

Finra3-Main

Finra bars former Wells Fargo broker in Florida

Oct 10, 2018

Rep allegedly manipulated a client account to maintain his status for working with international clients

Finra-main

In cases that could tarnish a broker's reputation, Finra must do better

Oct 9, 2018

Finra charged Stanley Niekras in 2016 with violating industry catch all Rule 2010, but couldn't produce testimony from key witnesses

LPL-new-2

LPL reels in $275 million team from Securities America

Oct 9, 2018

Colorado firm JBA Wealth Management moves to LPL

finra1-Main

Finra bars ex-Morgan Stanley broker Kevin Smith

Oct 8, 2018

Fired in 2016, he was barred Monday for not providing testimony in investigation

View all stories by Bruce »

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