Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Edward Jones to Recruit 450-500 Military Vets in ’13
By Janet LevauxThe privately owned broker-dealer aims to expand 5% a year and hit 20,000 advisors nationwide by 2020, Mark Eberlin of Edward Jones says.
May 23, 2013
Hybrid RIA, LPL Affiliate Adds Two PracticesU.S. Wealth Management hopes to reach $1 billion in client assets over the next 12 months, up from $600 million today.
May 23, 2013
Is it time to dump “fiduciary”?When the Director of Investor Protection for the Consumer Federation of America says investors dont respond to fiduciary, whats the alternative?
May 22, 2013
Baird Expands Recruiting of Trainees, AdvisorsThe employee-owned, Milwaukee-based firm tops $100 billion in client assets as it aims for $1 billion in revenue.
May 22, 2013
Is Your Broker-Dealer a Screaming Eagle or a Box Wine?Whether youre a high-end wine or a high-end broker-dealer with a cult following, its all about the experience.
May 21, 2013
FINRA Fines LPL $9M for Failing to Monitor EmailsFINRA announced Tuesday that it fined LPL for 35 separate, significant email system failures, and for making material misstatements to FINRA during its investigation.
May 20, 2013
Cambridge CEO Schwartz: What His Firm, Other Advisors Must Do to Stay SuccessfulDespite the scenic Colorado view, the meeting began on a somber note as CEO Eric Schwartz eulogized marketing and recruiting head Jim Guy, who died April 5.
May 20, 2013
Janney Nabs Morgan Stanley Team in DelawareThe advisors join with about $195 million in assets and $1.5 million in yearly fees and commissions.