Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The 2015 Broker-Dealer Presidents Poll
By James J. GreenBroker-dealer presidents are fierce competitors, and while they may cooperate in areas of advocacyas they do notably as members of the Financial Services Institutethey all want nearly the same representatives.
June 01, 2015
HighTower Group to Target Athletes, CelebritiesSome advisors, though, say it's better to focus on pro athletes from a single sport rather than targeting all VIPs.
June 01, 2015
FINRA BrokerCheck Ad Campaign Supported by Huge Fine VolumeFINRA's $3.5 million campaign compares hiring a broker without checking BrokerCheck to other "leap-before-you-look" mistakes.
June 01, 2015
Best Firms for Self-Directed Investors: J.D. Power—2015The latest survey finds that do-it-yourselfers want access to top tools, human advisors and clear information on fees.
May 29, 2015
Raymond James Adds Team in Flooded Texas RegionMeanwhile, Raymond James, BofA and Wells Fargo are donating to flood relief, and RJ says it is buying Producers Choice Network.
May 29, 2015
4 ways to dazzle bigger employer groupsAll that change may give brighter brokers a chance to shine.
May 29, 2015
FINRA Floats ‘Watered Down’ BrokerCheck, Broker Bonus RulesThe new broker bonus plan runs counter to the current industry debate over a common fiduciary standard, which brokerage firms largely favor, lawyer Patrick Burns says.
May 28, 2015
LPL Shares Info on Reps Recruited in Q1The IBD lags rivals in terms of average assets per financial advisor but says its "technology, solutions, service and resources" set it apart.