12 Best & Worst Broker-Dealers: Q1 Earnings, 2013
Several large firms are turning around their operations, but others still face performance issues.
Becoming Fluent in Client Negotiation
Experts advise on how advisors can take talking with clients to the next level.
Honoring Advisors Who Serve(d): Memorial Day, 2013
In a slideshow honoring advisors and their partners—and one famous non-advisor, PIMCO’s Gross—who served in the armed forces, we present 18 veterans deserving of praise.
SIFMA Names Former Sen. Gregg as CEO
SIFMA announced Monday that former Sen. Judd Gregg has been appointed CEO and that Ken Bentsen, acting president and CEO, is now president.
Raymond James Tops Estimates on Strong Sales in Early ’13
Net income for the quarter ending March 30, though, dropped from the prior quarter.
Raymond James Execs on IT: ‘Can’t Slow Down’
Top technology execs share latest successes at the independent broker-dealer’s annual conference in Dallas.
Raymond James-Morgan Keegan Fully Integrated
Raymond James said in early March it had wrapped up the conversion of Morgan Keegan operations and clients into Raymond James’ technology systems, and the Morgan Keegan brand had been retired.
Former Morgan Keegan Fund Directors Settle With SEC
The Regions Morgan Keegan Funds were charged by the SEC with overstating the value of their securities as the housing market was collapsing in 2007.
5 IBDs That Changed the Game
What makes these independent broker-dealers “important?” They break new ground, making IBDs an increasingly viable alternative for advisors.
Raymond James Retires Morgan Keegan Brand, as Tech Transition Ends
Raymond James said Tuesday it had wrapped up the conversion of Morgan Keegan operations and clients into Raymond James’ technology systems.