Top Posts at Broker-Dealers See Big Changes
LPL, Morgan Stanley and Raymond James all announced big moves recently.
FSI Names Derek Bruton, Seth Miller to Its Board
The independent BD association names replacements for Bill Dwyer of LPL and Jim Livingston of National Planning Holdings.
As LPL’s Dwyer Steps Down, Moore Steps In
After 20 years, the executive leaves the IBD’s sales efforts in the hands of the Advisor & Institution Solutions president.
Slow and Steady Wins the Reg
In 2013, FSI’s main priorities will be engaging politicians on relevant regulations and legislation, like the DOL's fiduciary rule, BDs’ independent contractor status as well as certain provisions of Dodd-Frank.
FSI Adds to Board, ‘Strengthens Focus’ on Small Broker-Dealers
The cavalry is coming. Advocacy organization announces three new members to its board and a renewed commitment to small and mid-size broker-dealers.
Bill Dwyer Makes the Case for Success of LPL in ‘Golden Age of Advice’
LPL’s president of national sales lays out new initiatives in retirement plan advice and service to the high net worth and says the firm is “adding competencies” at a time of economic downturn.
Top 10 RIA-Friendly Indie BDs
Investment Advisor magazine’s 2012 BD Reference Guide helps sort and rank IBDs in five major categories, with AdvisorOne here highlighting 10 by their accommodation to RIAs.
LPL Reshuffles Executive Team
LPL CEO Mark Casady says the moves, and the launch of a new unit, are intended to capture “dynamic growth opportunities.”
FSI OneVoice 2012: Warning to Regulators From Spider-Man, Other IBD Leaders
At annual confab of independent BD leadership, Jim Nagengast, conference chairman, opened the forum espousing industry unity and warned Washington to not abuse its regulatory power.
Big U.S. Banks Are ‘Uninvestable,’ Say Industry Insiders at SIFMA Meeting
Industry insiders criticized big U.S. banks as being “uninvestable” on Tuesday at the Securities Industry and Financial Markets Association’s (SIFMA) annual meeting in New York.