The 2013 Broker-Dealer Reference Guide
Raging bulls, skyrocketing energy production, baby boomer retirement—for such a seemingly volatile industry, in the past year, surprisingly little has changed.
Pershing to Launch NetX360 Mobile Update at Insite
Pershing leverages the deep, $2 billion pockets of its BNY Mellon parent in a way that many competitors can’t match.
8 Practice Areas Where Advisors Can Save Big With Tech
Between 40% and 45% of revenue goes to overhead—a number that isn't changing with growth, but could with some help from technology.
MSRB (Still) Awaits SEC Muni Advisor Rule; Plans EMMA 2.0
Three years after passage of the Dodd-Frank Act, the Municipal Securities Rulemaking Board is still waiting for the SEC to issue its rule defining who is a municipal advisor.
New Hire Roundup: Westport Resources Promotes DeLaura
This week in new hires, Westport Resources promoted Christopher DeLaura and added Ashley Schexnaildre, and Susan Axelrod was promoted and Jonathan Sokobin was added by FINRA.
New Hire Roundup: Christian Brothers Appoints Four
This week in new hires, Christian Brothers Investment Services announced four key appointments, and American Century welcomed Joseph Schultz.
RIAs Overwhelmingly Optimistic for 2013 Growth
Forget the Dow. The greatest measure of growth might come from advisors themselves.
New Hire Roundup: LPL Financial Welcomes Lochan
This week in new hires, Brendt Stallings and Husam Nazer joined DoubleLine, the MSRB board announced that it is looking for a few good applicants, and Citi named two new co-presidents.
New Hire Roundup: Layton to Run Neuberger Berman Wealth Group; New SIFMA Board Member
This week in new hires, Neuberger Berman announced that Brian Layton would head its Boston wealth management group; Paul Gamble was promoted at Financial Engines; and SIFMA announced that Kim Tillotson Fleming was named to its board.
New Hire Roundup: Mozzocci Goes to Cantor Fitzgerald
This week in new hires, Cantor Fitzgerald Investment Advisors welcomed Theresa Mozzocci, and BondDesk announced that Howard Edelstein would add the role of CEO to his position as chairman.