Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
First Allied Has New Owner
By Janet LevauxA group led by real estate investor Nicholas Schorsch is acquiring independent broker-dealer First Allied Securities from Lovell Minnick Partners “because…
July 01, 2013
An Argument for Study Groups; 2013 TechLeaders Survey: July Investment Advisor—SlideshowIn the July issue of Investment Advisor, we take on succession planning and study groups.
July 01, 2013
Financial Planners Waste No Time After DOMA RulingHart Patterson Financial Services began calling clients immediately following the Supreme Courts decision on gay marriage.
July 01, 2013
The 2013 TechLeaders Survey Resource Allocation AppendixAs educational editor of the 2013 TechLeaders Conference held on March 13-15 in Irving, Texas, Beacon Strategies LLC contributed to the conferences goal of developing thought leadership for broker-dealers of all sizes.
June 27, 2013
LPL Beefs Up Retirement Plan PlatformThe independent broker-dealer, partnering with Morningstar, Financial Finesse and Wealth Management Systems, gives its new Worksite platform plenty of tools for advisors, investors and employers.
June 26, 2013
Surviving the negativity challengeEspecially in sales, a positive attitude is imperative.
June 21, 2013
Morgan Stanley Gets OK to Buy Rest of Smith BarneyThe wirehouse should wrap up its purchase of the joint venture by the end of June.
June 20, 2013
Raymond James Improves Securities Results in MayFees and commissions rise nearly 9% from April for its more than 6,200 financial advisors.