With today's wealth management space becoming increasingly commoditized, broker-dealers need smart ways to grow and protect their business. One of the biggest growth challenges? Empowering advisors to ...

Following a weeks-long survey process and months of anticipation after that, InvestmentNews is proud to reveal its list of 5-Star Broker-Dealers for 2024. Whether it’s by revenue earned, account ...

An aging base of brokers, many with even older clients, is prompting many large institutions to scramble to figure out how to prepare for the inevitable and retain the business for generations to ...

Financial advisors affiliated with a broker-dealer are far more likely than other advisors to say they will definitely leave their firm this year. That was among the findings in this month's Financial ...

For many financial advisors, dissatisfaction with a current broker-dealer eventually raises the question: is it time to make a move? The recent trend of broker-dealer consolidation through mergers and ...

Broker-dealer advocates are calling for an amendment to a 2001 Financial Industry Regulatory Authority (FINRA) rule, arguing that the current regulation fails to reflect the characteristics and ...

Despite limited regulatory requirements to intervene, broker-dealers face exposure to discipline and liability claims when elderly clients fall victim to financial exploitation. In an environment of ...