Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
2016 Broker-Dealers of the Year: Lon Dolber on Knowing What Advisors Need
By James J. GreenThe president and CEO of American Portfolios, Lon Dolber, still has a book of business, which gives him valuable perspective on what advisors are dealing with day to day.
September 02, 2016
The 2016 Broker-Dealers of the YearThe leaders of the winning firms share what sets them apart from the competition.
September 02, 2016
2016 Broker-Dealers of the Year: Eric Schwartz on IndependenceCambridge can bring together the relationships of a small firm and the resources of a large firm thanks to its private ownership and independent mindset, according to Eric Schwartz.
September 01, 2016
Cetera Replaces CEO Roth With Moore as RCS Bankruptcy Woes FadeWith the RCS Capital bankruptcy behind it, Cetera appears to be replacing a wartime leader with a peacetime leader, one observer says.
September 01, 2016
Recruiting Roundup: Pensionmark Draws $1B Group to NetworkOther advisor teams and registered reps move to affiliate with NPC, Securities America and Capital One.
August 31, 2016
Where BDs Are Getting Their Best RecruitsThe DOL fiduciary rule presents an opportunity for BDs to attract advisors, but its not the only factor driving growth in the rep force.
August 31, 2016
Will DOL Fiduciary Rule Drive RIAs to — or From — BDs?Broker-dealers have an opportunity to ease RIAs compliance burden brought by the DOL fiduciary rule, the 2016 Broker-Dealers of the Year say.
August 31, 2016
Banks, Credit Unions Lose More Than $8M per Departing Rep: LPL StudyDoesnt it make sense to spend some of that money to keep the advisors, before it walks out the door with them? the authors asked.