Browsing Tag
broker-dealers
15 posts
401k Plan Provider NWPS Bought by Raymond James
Broker-dealer Raymond James is expanding its retirement services offerings by acquiring Seattle-based NWPS Holdings, Inc., doing business as…
Top Broker-Dealers Ranked By Advisors
J.D. Power is out with its list of broker-dealers that outperform, surveying financial advisors and their levels of…
Raymond James Rep Fired Over Black Lives Matter Incident
A viral video of a man and woman accusing a property owner of illegally stenciling “Black Lives Matter”…
Final Countdown to Reg BI
Reg BI is almost here. Are you ready? Because the new rule’s entire compliance process will require well-thought-out…
RIA Channel Growth ‘Soars,’ According to Cerulli
We assume they mean pre-coronavirus crisis, but Cerulli Associates find that the advisor movement into the registered investment…