Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
A salesperson says: “The reports of my death have been greatly exaggerated.”
By Lloyd LoftonI 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.
August 04, 2014
Wealth Firms Adding Indie, Wirehouse RepsA number of successful advisors are switching channels and broker-dealers at a quick pace in midsummer.
August 04, 2014
Industry Gears Up for Fiduciary SeptemberAdvisors are beginning to think that if regulators won't move forward on fiduciary rules, maybe the profession should, TD Ameritrade's Skip Schweiss tells ThinkAdvisor.
August 01, 2014
Ladenburg Thalmann Buys Insurance Brokerage Highland for $42MThe acquisition of Highland gives Ladenburg's independent advisors greater access to insurance solutions for clients.
July 31, 2014
Sontag Joins Board of Focus Financial; Bruton In as Lucia Capital CEOThese growing firms aim to add more advisors and business from the wirehouses, as well as from independent firms.
July 30, 2014
Fines Eat Into LPL's Q2 EarningsLPL Financial's net income fell 4.4% from a year ago, mostly related to unforeseen regulatory costs.
July 30, 2014
Mass. Checks Out How BDs Treat Older InvestorsMassachusetts securities regulator William Galvin is sweeping 162 Massachusetts BDs to gauge the number of complaints from older investors and how BDs resolve them.
July 23, 2014
Free Financial Advice? What Could Be Better for Consumers?Excising the requirement that professionals act in clients best interests would make society much more efficient, and save the Treasury billions!