Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Commonwealth Grabs Group From LPL-Affiliated Firm
By Janet LevauxBenjamin W. Wong and Associates joined Commonwealth after their previous firm, Financial Telesis, was bought by an ex-LPL exec.
August 13, 2014
Fed’s Rosengren says brokerage rules need ‘major re-examination’Fed officials have warned the web of repurchase agreements, or repos, remains prone to unravel in a panic.
August 12, 2014
Securities America Grabs 2 Advisors With $93M in AUMThe Virginia-based brokers come from VALIC, an AIG affiliate, and join Investor Securities Group, one of Securities America's largest branches.
August 12, 2014
Schorsch's RCS Rebrands IBD Unit, Stays With PershingThe unit, renamed Cetera Financial, will include expanded marketing platform and consulting services, Cetera CEO Larry Roth said.
August 11, 2014
How Advisors Can Go From ‘Good to Great’: Jim CollinsBestselling author Jim Collins shares the secrets of greatness at LPLs annual advisor conference.
August 11, 2014
HighTower Grabs Merrill Advisors With $800M in FloridaMerrill Lynch lost $800 million in AUM and three top advisors to HighTower Partnership.
August 08, 2014
H.D. Vest Rolls Out Financial Planning Software for AdvisorsThe software gives its nearly 5,000 advisors more access to information on client assets, even those held at other firms.
August 07, 2014
A salesperson says: “The reports of my death have been greatly exaggerated.”I dont think we are seeing the death of the salesman, rather the defining of a role that has long brought value and stability to an industry.