The new rule would permit brokers to use projected performance in communications about qualified retirement plan investing. The Financial Industry Regulatory Authority proposed a new rule Friday that ...

Broker/dealers with less than $10 billion in assets account for a significant majority of overall industry volume but less than 10% of adviser-managed assets, according to data shared by Cerulli ...

FSI officials doubt its efforts will stop the Department of Labor from imposing stringent standards that would discourage many broker-dealers from handling small IRAs. At its annual meeting in San ...

LPL Financial (LPLA) announced that Shawn Gentle of Gentle Family Wealth Partners has joined LPL Financial’s broker-dealer and Registered ...

Being an independent financial advisor gives you the freedom to design your business, but it also requires finding the right support to manage associated challenges. Choosing a broker-dealer that ...

LPL is sharpening its focus on business owners, a key segment in the high-net-worth advisory space, with a new offering to help its advisors support entrepreneurial clients. On Tuesday, LPL said it ...

Simplifying and better integrating compliance tasks, improving customer relationship management and developing more-robust portfolio management tools are the top technology concerns among financial ...

Cetera continued to bulk up the independent broker/dealer space this week by adding a 34-person team ... The firm’s money management includes $500 million in employer-sponsored retirement plan assets, ...

Oct 11 (Reuters) - Edelman Financial Group said on Tuesday it plans to shut down its independent broker-dealer business by the end of the year, citing a lack of revenue growth. The Houston-based ...