Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Adds Team in Flooded Texas Region
By Janet LevauxMeanwhile, Raymond James, BofA and Wells Fargo are donating to flood relief, and RJ says it is buying Producers Choice Network.
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.
May 28, 2015
Talk of FINRA as Advisor SRO Rears Its Head AgainA Republican on the House Financial Services Committee said at FINRA's annual conference that he would "explore" legislation to give FINRA advisor exam authority.
May 28, 2015
How Super OSJs Bring Innovation to Broker-DealersWhile broker-dealer management is distracted by heavy-handed regulation, BD producer groups (aka super OSJs) are providing multiple new benefits to reps.
May 27, 2015
Mark Tibergien: Wisdom, Candor and Leadership—The 2015 IA 35 for 35The leader of Pershing Advisor Solutions uses humor and wit to encourage advisors to do the right thing.
May 27, 2015
What Firms Claim About Their Brokers’ Fiduciary Duty (and Lack Thereof)Broker-dealers publicly market themselves as putting their clients first. But when it comes to arbitration cases, they sing a different tune.
May 26, 2015
Baird Adds Branch Manager From UBS, Advisor From Morgan StanleyThe employee-owned wealth firm added advisors in Maine and Ohio.
May 25, 2015
Eric Schwartz: Still a Broker-Dealer Pioneer—The 2015 IA 35 for 35Cambridge's founder led the independent BD industry to the promised land of fees. Now hes leading them to succession planning nirvana.