Tag: Broker/Dealer

Transamerica will become the preferred defined contribution recordkeeping provider for Mercer's total benefit outsourcing and total retirement outsourcing clients.

Cerulli outlines DCIO firms’ top concerns regarding retirement specialist adviser demographics. 

It’s not for everyone, but one advisory firm founder says most retirement specialist colleagues are well suited for the move to independence. 

Broker/dealers’ traditional affiliation approach could leave them in the past

Symetra provides employee benefits, annuities and life insurance.

Cetera Financial Group confirms plan to close J.P. Turner brokerage. 

Firms across the financial services spectrum are adapting to increased adviser teaming and the growing importance of partnership approaches to financial advice and institutional investment consulting.

A consumer engagement and onboarding solution pairs with an integrated platform to help registered investment advisers (RIAs) expand assets under management.

MillenniuM Investment and Retirement Advisors has teamed with TriCore to offer an integrated, open-architecture qualified plan program.

New rule language outlined by the Department of Labor will increase the number of advisers and brokers required to act as fiduciaries for investment clients.

As expected, financial services advocacy groups have plenty to say on the proposed fiduciary rule by the Department of Labor (DOL).

To ensure regulations compliance and proper treatment of broker/dealer income, Global Retirement Partners (GRP) will offer access to accommodation broker/dealer services.

A new name, logo and redesigned website are the former Lincoln Trust’s latest steps in building its retirement business brand.

J. David Ballard has been appointed executive vice president and chief operating officer of Cetera Financial Group, effective April 13.

The acquisition of Trinity Consulting by NFP expands the firm’s employee benefit offerings in the Southeast United States.

New York City Comptroller Scott Stringer has proposed a state law requiring financial advisers to disclose whether they put their own financial interests ahead of their clients’ needs.

CAPTRUST and Pensionmark Retirement Group will create a new entity intended to be the industry’s premier platform for retirement plan advisers.

Less than a quarter of wirehouse advisers control nearly half of all traditionally advised assets, says Cerulli Associates in a new report. 

Chicago-based registered investment adviser Legal & General Investment Management America, Inc. announced Robert J. Moore will be the firm's next chief executive officer.

President Barack Obama said he expects opposition from special interest groups to the pending fiduciary rule, even though specifics of the rulemaking have not yet been disclosed.