Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisor Prepares Pro Athletes for Life After Sports
By Gil WeinreichLee Rawiszer creates lifetime plans for incomes at risk of meteoric rises and crashes sometimes after meeting the client for less than 15 minutes.
September 23, 2014
Schorsch’s RCAP Adds Ex-LPL Exec Dwyer in Leadership ShakeupBill Dwyer will be CEO of the Realty Capital Securities unit, while other new additions will give the rapidly growing firm a "deep bench."
September 22, 2014
Ladenburg Thalmann to Acquire Securities Service NetworkAs part of its growing network, Ladenburg Thalmann is now acquiring broker-dealer and registered investment advisor Securities Service Network.
September 22, 2014
FINRA’s Big-Brokerage Loyalty Revealed in New Bonus Plan: LawyerThe proposal, which curtails mandatory disclosures, should "leave no doubt" where FINRAs loyalties lie, lawyer Patrick Burns says; recruiter Jon Henschen argues disclosure is pointless.
September 19, 2014
3 Ways to Attract and Retain Talented AdvisorsFirms that don't provide incentives for talented advisors to stay are at risk of losing them, according to Schwab's 2014 RIA Benchmarking Study.
September 19, 2014
3 Tips to Avoid Social Media Compliance ProblemsNo matter what social media platform advisors use, here are some important tips for staying compliant.
September 18, 2014
Schwab Adds 65 ETFs to Fee-Free PlatformInvestors can now trade more than 180 ETFs online through Schwab with no charge.
September 17, 2014
SEC’s uniform fiduciary rule could ‘haunt’ advisorsA uniform fiduciary standard for brokers and advisors is not going to work, according to one industry expert.