Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Nabs $2M Wells Team; Securities America Affiliate Adds 2 Advisors
By Janet LevauxThe ex-Wells team moves in Richmond, Va., while the new Arbor Point team transitions in Omaha.
May 27, 2014
Regulating Cybersecurity; Understanding Social Security: June Investment Advisor Features—SlideshowProtecting their personal information, much of which is stored online nowadays, from hackers is an important individual responsibility, but for financial advisors there is an added responsibility to protect their clients data from thieves.
May 27, 2014
The 2014 Broker-Dealer Reference GuideSome observers of the independent broker-dealer universe might be tempted to explain its current state by counting the acquisitions that Nicholas Schorsch's Realty Capital has made over the past year.
May 27, 2014
SEC's Gallagher: Fiduciary Debate Is UnfairDaniel Gallagher, one of the Securities and Exchange Commission's two Republican commissioners, has been very vocal as of late regarding his belief that the agency doesn't need to write a rule to put brokers under a fiduciary mandate.
May 27, 2014
The 2014 Broker-Dealer Presidents PollOur fifth annual Broker-Dealer Presidents Poll found the leaders of independent broker-dealers are optimistic even though theyre still smarting from the costs of staying compliant.
May 27, 2014
Raymond James, the New Borders Bookstore?Fiduciary advocates need to reframe the battle: think "disruptive innovation," as has happened to book publishing and is happening to BDs.
May 27, 2014
How one firm is single-handedly bringing down healthcare costsIt turns out the missing ingredient is information.
May 26, 2014
Amy Webber, Cambridge’s Optimist: The 2014 IA 25 ProfileStarting with the fact that we cant control things like the market and economy or regulation, Im wildly optimistic about our industry, Webber said.