Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
X by 2 names top insurance tech challenges for 2014
By Henry StimpsonThe age-old model of relying exclusively on the human channel agents in the insurance industry is breaking down.
December 27, 2013
FINRA Floats System to Automatically Flag Problems With Broker Sales PracticesRegulator seeks comments on proposed CARDS system that would gather data from firms and send to FINRA before conducting onsite exams.
December 23, 2013
The Waiter Test: Recruiting Tips from Commonwealth's BloomMany broker-dealers speak about the importance of their corporate culture and how careful they are to make sure theres a good fit when they are recruiting new advisors.
December 23, 2013
Claiming Social Security at 70 Can Cost You: T. Rowe StudyFor all of Social Securitys solvency problems, Americans, who are notorious for claiming benefits early and therefore leaving lots of money on the table, are doing their part to sustain the program.
December 23, 2013
Is the Grass Really Greener?Recruiters like myself often get questions from broker-dealer reps considering a move that begin, Is it normal that my broker-dealer?
December 23, 2013
Why Reps Stay; Why Reps LeaveIn the latest of a series of reports on what the world will look like in the future for advisors and the companies with which they partner, Pershing released in early December Broker-Dealer of the Future II, in which it delineates six stunning transformations that it says BDs must experience...
December 20, 2013
Advisors Move to Raymond James, Securities America, Wells FargoRaymond James adds a $1.6 million group from Wells Fargo; Securities America welcomes back a $2 million producer.
December 20, 2013
FINRA Bars Advisor Over Nontraded REIT SalesGary Chackman worked in the business for 22 years, including time with LPL Financial, AXA and Summit.