Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wells Adds 5 Advisors, Nearly $1B in Assets From Rivals
By Janet LevauxIn addition, Securities America adds an advisor with $137 million in assets from Financial Telesis.
August 30, 2013
E&O Insurance: Cost and Deductibles SkyrocketThe days of $1,500 errors and omissions insurance with a $5,000 deductible are quickly coming to an end.
August 29, 2013
Moving to a New BD or Custodian? Ask These 5 Tech Questions FirstCaptive technology can trip up an advisor, despite the attractive bells and whistles of your new BD or custodians platform.
August 28, 2013
LPL Shutters Mass-Market UnitAs part of the NestWise closure, Esther Stearns will be leaving the IBD, along with more than 30 other employees.
August 28, 2013
What’s ‘Fee Only’? CFP Board and NAPFA DivergeIs 2% ownership of a BD really so "insubstantial"? The CFP Board and NAPFA take different tacks on issue flowing from the Alan Goldfarb case.
August 27, 2013
Morgan Stanley Adds 9 Reps From RivalsThe new advisors bring about $10 million in yearly fees and commission, as well as more than $1.8 billion in total client assets.
August 26, 2013
On the Loss of Bill McGovern, Communication and CaringWe don't always get the chance we expect to have to express our real appreciation for those in our professional and personal lives.