Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Drugmakers say Pacific trade pact to stifle investment in cures
By Anna Edney and Doni BloomfieldThe drug companies asked for 12 years of data secrecy and got five years.
October 02, 2015
These Female Clients Love Their Financial Advisors—Here’s WhyFor insight on how to best serve female clients, the Raymond James Womens Symposium turned to clients themselves.
October 01, 2015
Why SEC Is Cracking Down on 12b-1 Fees and ‘Distribution-in-Guise’Once again, the SEC provides "guidance" to advisors in the form of an enforcement action, this time a $40 million judgment against First Eagle.
October 01, 2015
Employee Channel Adding Biggest Teams Ever: Raymond James ExecBroker-dealer says recruiting on West Coast and Northeast now account for about one-third of recruited reps.
September 30, 2015
Recruiting Roundup: $3 Billion Merrill Team Goes IndieThe advisors form Corient Capital and partner with Dynasty Financial Partners in Southern California.
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.