Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How I Met My Client: Charles Barkley
By Janet LevauxRaymond James advisor Glenn Guthrie talks about how he landed the former NBA player as a client.
March 23, 2015
Raymond James, LPL Add Teams From Morgan StanleyThe two groups each have $200 million or more in assets; Securities America taps recruiter; Foothill Securities brings on $1B group.
March 20, 2015
Insurers are using rap videos to make being an actuary look hipBy 2022, the insurance industry stands to create at least 500,000 job openings, according to the Bureau of Labor Statistics.
March 20, 2015
Insurers are using rap videos to make being an actuary look hipBy 2022, the insurance industry stands to create at least 500,000 job openings, according to the Bureau of Labor Statistics.
March 19, 2015
LPL Financial Promotes Compliance Chief to Managing DirectorSharyn Handlesman has been with the indie BD, which had regulatory charges of $36 million last year, since 2010.
March 19, 2015
TD Ameritrade’s Schweiss Named Fiduciary of the YearPast winners include David Tittsworth, W. Scott Simon, Ron Rhoades and Eugene Maloney.
March 18, 2015
Fiduciary Standard Should Be Based on How Brokerage Industry WorksA reader says all fees, transaction costs and loads should be transparent and "comparison-shopped for by a broker 'advising' any client." Therein lies the rub.
March 17, 2015
FiNet President: Wells Fargo ‘Loves Our Growth Story’Wells Fargo Advisors independent channel has been on a tear, adding 99 advisors last year, FiNet President Kent Christian says.