The end of 2010 was welcome to broker-dealers and recruiters.
A Broker's Broker
Last June, when the financially troubled Brookstreet Securities Corp. collapsed, some 500 advisors were instantly out of work. Behind the scenes, recruiter Larry Papike was...
Recruiters' Least-Favorite Reg
A National Association of Securities Dealers policy that prohibits the use of block transfers of clients' mutual funds and variable annuity contracts has helped stall...
Here, There and Everywhere
A new study by Moss Adams claims that dual registration--which means advisors who are registered with both the SEC and the NASD, and are collecting...
Over the past few years, numerous advisors, independent broker/dealers, and brokers have formed relationships with mortgage lenders to help serve their clients better and pull...
B/Ds' Compliance Burden Gets Heavier
Ask any broker/dealer what their biggest headache is nowadays, and they'll tell you it's complying with the deluge of new and proposed regulations by the...
Now that we're in the fourth year of a bear market, it's getting more and more difficult for broker/dealers to make a buck. Data culled...
The Virtues of Independence
Cambridge Investment Research, Inc. takes pride in being an independent broker/dealer. While other firms have sold out to huge financial services firms like AIG and...
Secrets of Success
Rough markets, rough times, and a catastrophe no one could have foreseen have driven much of the business world right into a maelstrom. The financial...
We know what constitutes an attractive broker/deal