SEC Fines Firm, Unregistered BDs $6 Million
Nine companies and 12 individuals acted as brokers for corporate bond sales without legal registration.
12 Best & Worst Broker-Dealers: Q4 Earnings, 2014
Here’s how some of the biggest firms’ earnings compared over the fourth quarter.
Stifel-Sterne Agee Deal Is a Go for $150M
The merged firm should have more than 2,830 advisors and $200 billion in client assets.
Stifel Moves to Buy Sterne Agee: Reports
The reported deal means Stifel could soon top 3,000 total advisors and $200 billion in client assets.
An Investor-Friendly Way to Switch Broker-Dealers
Advisors can use some creative techniques when telling clients why they changed broker-dealers or custodians. Start with your new firm's financials.
ThinkAdvisor’s 2014 Q4 Earnings Calendar for the Finance Sector
A list of full-year and fourth-quarter 2014 earnings release dates for companies of interest to financial advisors and investors.
13 Best & Worst Broker-Dealers: Q3 Earnings, 2014
The third quarter saw several firms get hit with problems, while others were able boost their financial results.
BofA Posts Small Q3 Loss; Merrill Reps Near $1.1M in Average Production
The wealth-management operations report a pretax profit of 27.4% on net income of $813 million.
12 Best & Worst Broker-Dealers: Q1 Earnings, 2014
This quarter saw surprising performance dips and peaks across the financial sector.
The 2014 Broker-Dealer Presidents Poll
Our fifth annual Broker-Dealer Presidents Poll found the leaders of independent broker-dealers are optimistic even though they’re still smarting from the costs of staying compliant.