Broker-Dealers

Displaying 5051 results

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Financial wellness is winning 401(k) plan business

The strategy is seen as an opportunity to help train younger advisers and prospect for wealth management clients.

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2020: The year Wall Street lost the wealth management race

COVID-19 slowed down but did not halt the flow of advisers fleeing wirehouse firms for the independent channel

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J.P. Morgan rep managing $425 million joins LPL indie group

Bryan Schneider affiliates through Professional Wealth Advisor in Downers Grove, Illinois

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Why a new Betterment chief could usher in an IPO

Founder Jon Stein wasn’t able to achieve his ultimate goal of an initial public offering, but he transformed the little-known New York-based fintech into a digital behemoth

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Robinhood under pressure for bringing ‘gamification’ to investing

The free trading app has been applauded for democratizing the market but critics, and regulators, are starting to take a closer look

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What advisers need to know about the new DOL rule

The new interpretation on the definition of advice has some benefits for plan advisers, and it will be in place even if the rule is halted

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Robinhood isn’t gamifying the markets. It’s democratizing them

The fintech led a movement to virtually eliminate commissions, cut racial investing disparities in half and dramatically increase stock ownership among investors

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Raymond James buys another boutique investment bank

The deal comes on the heels of the firm's announced purchase of a retirement plan shop

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Morgan Stanley duo managing $150 million goes indie with LPL

The mother-and-son team of Paulette and Beaux Treguboff affiliate in Glendale, Arizona

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Adviser managing $186 million moves to Voya from Lincoln

Adrian Dunuwila of Fayetteville, New York, is joining his son Brendan at Dunuwila Wealth Management

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CFP Board launches redesigned consumer website

Let’s Make a Plan provides help on how to choose and pay for a financial planner

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New York unit of Hightower merges with $280 million firm

The new Fischer Stralem Advisors will advise on $800 million in assets

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Morgan Stanley loses appeal of $3.3 million award

The U.S. Court of Appeals affirms an earlier ruling against Morgan Stanley in a case regarding the sale of Puerto Rico bonds

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UBS team managing $4.8 billion launches RIA

The move comes at the closes of 2020, which has seen fewer breakaways exit than previous years, but with higher average AUM

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Wells Fargo duo managing $215 million goes indie with LPL

Lynn Daughtry, Kyle Conger form White Oak Investment Management in Georgia

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Lawmakers want SEC to clarify how brokers can hold digital securities

The lack of guidance on custody is slowing the adoption of cryptographically based assets, experts say

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LPL nabs $900 million hybrid team from Cambridge

The 10-year-old Rosemont Financial Group based in Albany, New York has 11 financial advisers

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Merrill Lynch hit with record $26 million action over broker churning

New Hampshire Bureau of Securities Regulation called the settlement the 'largest monetary sanction' in the regulator's history

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Boston FiNet team managing $3.75 billion becomes RIA

Mayflower Advisors breaks away; uses Pershing as custodian

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San Diego hybrid managing $250 million returns to LPL

Nautica Wealth Advisors had moved with its OSJ to Cetera for three years