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Broker-dealers have different views on recruiting over next six months

January 30, 2017

Broker-dealers have different views on recruiting over next six months

DOL rule could prompt some advisers to move ahead of time — and others to stay put until they gauge rule’s impact

Jan 12, 2017 @ 4:15 pm | Bruce Kelly | InvestmentNews.com

Senior executives at leading independent broker-dealers are split in their assessment of recruiting over the first half of this year, with some expecting a strong start to 2017, while others are not as sanguine.

Confusion in the recruiting market caused by questions surrounding the implementation in April of the Department of Labor’s new fiduciary rule for retirement accounts is the chief reason for the dual perspectives, executives said.

On one hand, advisers are thinking about and moving to larger, more established IBDs looking for stable firms that have invested significant amounts in systems and technology so advisers can make a smooth transition to a fiduciary rule.

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February 3, 2016

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