Independent BDs

Edmond Walters is seen as bringing deep fintech expertise to rebranded company.

Some wirehouse branch managers have made the transition to the independent channel, but doing so takes careful planning, experts say.

In contentious Senate testimony, White fended off accusations that the regulatory body has dragged its feet. Again, she did not offer a timeline for implementing a fiduciary rule from the SEC.

The new recruits are opening a new office for the independent firm.

The question a Cetera advisor says he never wanted to get from a client: "How come this is $88,000 instead of $100,000?"

Close scrutiny of data from the nation’s largest IBDs reveals some surprising shifts, with more to come.

The independent broker-dealer industry could lose a third of its brokers and many of its smallest firms, experts predict. What does that mean for survivors?

Some insiders at big brokerage firms encouraged the DoL to maintain progress. "That kept us going," Assistant Secretary of Labor Phyllis Borzi says.

Sales commissions may decrease, but new assets are expected to come on the platform.

The recruits moved to the firm from Morgan Stanley, Wells Fargo, Stifel and Voya.

Firm relaunches as Aretec – Cetera spelled backward; new owners are undisclosed.

Commission staffers are probing how broker-dealers are handling ETFs and the extent to which investors understand the risks of the funds.

Judge’s decision paves way for the Cetera subsidiary’s IBDs to move past RCS troubles; retirement benefits are unaffected, judge says.

The recruits generated $1.8 million in annual production before making the move.

In an unusual move, the two veteran advisers left the independent channel to rejoin an employee broker-dealer.

As Cetera parent RCS Capital moves toward bankruptcy emergence, the IBD will shutter two smaller IBDs, leading to likely loss of unknown number of advisers.

Keeney Financial Group plans to leverage Triad affiliation to grow, firm founder says.

Megent is planning to expand its union-sponsored retirement plan services.

He will join a team of ex-Merrill advisers that will oversee more than $370 million in client assets at Snowden.

Vanguard founder John Bogle and the DoL's Phyllis Borzi support an investor bill of rights.