Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Young Investors Don’t Want Advisors Who ‘Mirror Them’: Securities America
By Janet LevauxGen X and Gen Y want experienced financial advisors and are willing to work with their parents FAs, the IBD said at its conference.
June 19, 2014
Krawcheck to Speak at Raymond James Women’s SymposiumThe broker-dealer expects more than 200 female advisors and about 30 prospective advisors at its 20th annual event.
June 19, 2014
Most Advisors Don’t Know Their Own FeesNearly two-thirds of advisors underestimate their fees by more than 30 basis points, a survey by Peak Advisor Alliance and Cerulli found.
June 19, 2014
First Allied Launching More Platforms Thanks to RCAP, SchorschCEO Adam Antoniades describes the latest offerings and says plaintiffs' attorneys are using the media to cast a bad light on the BD industry.
June 19, 2014
BrokerCheck Links in Twitter Profiles? No Way, BDs Tell FINRAIn comments on FINRA's revised plan to require links to BrokerCheck, rules on social media and other third-party sites draw particular ire from broker-dealer groups.
June 18, 2014
10 Best Mobile Apps for Financial Advisors: 2014Theres a morass of apps available, but as a financial advisor, which are best for your business? Here are 10 that are worth your time.
June 17, 2014
Retirees Suffer as 401(k) Rollover Boom Enriches BrokersA three-month Bloomberg investigation found that former employees at major companies say sales reps lured them into rolling their 401(k)s into unsuitable investments.
June 16, 2014
DOL Fiduciary Rule in 2016?It may be 2016 before a new rule is in effect, and even thats a long shot, says Groom Law Group's Steve Saxon.