Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Baird Makes Private Wealth Leadership Changes
By Jeff BermanPWM named a new president to replace Mike Schroeder, who is being promoted to the new role of division chairman.
October 14, 2021
Merrill Reports Positive Feedback on New MAX AppThe new mobile advisor experience was launched late last month after a pilot with a few hundred advisors.
October 14, 2021
New Pershing X Business Unit Launches: Tech RoundupAinslie Simmonds will lead the unit. Also, Carson onboards FeeX fintech retirement services for its financial advisors.
October 14, 2021
Cathie Wood's Ark Lends Name to Bitcoin Futures ETFAccording to an SEC filing Wednesday, Ark Invest will give marketing support to the sub-advisor of the Ark 21Shares Bitcoin Futures Strategy.
October 13, 2021
SEC Investor Advocate: Does Gamification Mean Game Over for Reg BI?For Reg BI to remain relevant, the SEC must make clear when digital "nudges" to trade are recommendations, Rick Fleming says.
October 13, 2021
Bill Gross Says Bond Market 'No Disaster,' Sees 10-Year Yield at 2%Even if bonds are likely to suffer losses, they still have a role to play in portfolios given the economic uncertainties, the PIMCO co-founder says.
October 12, 2021
BofA Warns of 'End to 60/40' PortfoliosThe recent synchronized selloff of equities and Treasuries could be just the start of what's to come for the popular stock-bond portfolio strategy, strategists warn.
October 12, 2021
Only Half of Institutional Investors Expect to Meet Target Returns by 2025: FidelityRespondents widely said they had been forced to take on more risk to achieve the same level of return.