Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
These Female Clients Love Their Financial Advisors—Here’s Why
By Janet LevauxFor insight on how to best serve female clients, the Raymond James Womens Symposium turned to clients themselves.
September 30, 2015
How do you survive open enrollment season?Looking for some ideas on how to survive the next few months? Here are a few tips from your peers.
September 30, 2015
Raymond James Hosts 21st Women’s SymposiumThe broker-dealer's annual event includes several hundred advisors, prospects and guests meeting in St. Petersburg, Florida.
September 29, 2015
How Fiduciary Rule Will Change Advisor Business: AIG Advisor Group PanelFSI's Dale Brown joined other experts at the ConnectED conference in San Antonio to address the practicalities of DOL's fiduciary rule.
September 28, 2015
More Advisor Exams LoomWhile boosting oversight of advisors via user fees, third-party examiners or a separate self-regulatory organization was dead politically this year, none of those issue has gone away, says Brian Hamburger, CEO of MarketCounsel, and more advisor exams are likely on the horizon.
September 28, 2015
Better-Paid Employees Build Better Firms: FA InsightOften, in their zeal to contain costs, as Oscar Wilde said, those in charge know the cost of everything and the value of nothing.
September 28, 2015
AIG Advisor Group Is ‘Island of Stability’ in BD Space: ExecA number of broker-dealers are hitting potholes, but this is our best recruiting year in seven years, said SagePoint CEO Jeff Auld.
September 28, 2015
Old-drug price hike ‘perversion of the system,’ Biogen CEO saysThe incoming chairman of PhRMA calls the Turing Pharmaceuticals move naive.