Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wall Street mounts final push to kill tougher U.S. broker rules
By Dave Michaels, Cheyenne HopkinsThe one-month delay would give brokers another chance to comment on the plan, and would compel Labor to study that feedback.
December 08, 2015
Tips for talking about your insurance careerYou land a job in insurance - hooray! Now how do you explain it to your friends and family?
December 07, 2015
RCS Capital Loses Ex-CEO as Board MemberEdward Weil resigns as the company, which owns Cetera Financial, continues to see its stock price and credit ratings drop.
December 07, 2015
Why the Broker Recruiting Protocol Is Here to StayFirms that stick with the protocol serve the best interests of their clients and their advisors.
December 04, 2015
Raymond James’ Deutsche Deal a ‘Clever’ Recruiting StrategyIn buying Deutsche Bank's U.S. wealth unit, Raymond James is well-positioned to attract boutique advisors just as many boutiques are closing, recruiter Mark Elzweig says.
December 04, 2015
4 Factors That May Cause a Flood of Broker-Dealer SalesMarketplace dynamics such as insurance company trends, the strong dollar and the profit potential of independent BDs will influence whether owning independent broker-dealers makes sense.
December 04, 2015
Why leading in our industry is easyOur industry is in a place where those who can see possibilities are poised to absolutely own the future.
December 04, 2015
5 Not-So-Bold Regulatory Predictions for 2016The sheer volume of complicated rulemaking that is pouring out of Washington bodes well for securities attorneys' billable hours but not for advisors' bottom lines.