Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
UBS Execs: Less Advisor Turnover, Lower Comp Costs Ahead
By Janet LevauxThe bank also reports a turnaround in profits, despite hefty legal and other charges.
October 28, 2013
Perks of Going Indie: Recruitment Bonuses, Higher Payouts, Supportive CEOsThe world of independent RIAs and broker-dealers is wider and deeper than many advisors suspect. On Wednesday, a ThinkAdvisor trade show will help you navigate.
October 28, 2013
2 Merrill Reps Go Indie, Join Dynasty FinancialThis brings the TRUE Group to about $500 million in assets, with plans to keep growing over the next few years.
October 23, 2013
Raymond James Tops Estimates as Profits Grow 40%The firms says its operations are being helped by improved efficiency, especially in the IT area.
October 23, 2013
Not Enough Women in the Industry: Raymond James ExecsLeaders outline some short-term steps the firm is taking to raise its long-term number of female reps.
October 23, 2013
Schorsch’s American Realty to Buy Rival Cole REITThe deal comes on the heels of purchases of First Allied and Investors Capital.
October 22, 2013
Raymond James CEO: ‘Our Focus Is Not on Acquisitions’The broker-dealer's conservative approach extends to the growing RIA channel as well, Paul Reilly says at women's symposium.
October 18, 2013
Most broker arbitration cases are expungedA survey found that expungement was granted in 89 percent of the cases resolved by stipulated awards or settlement.