Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Florida’s Notice-Filing Legislation Affects Advisors Nationwide
By John SullivanTraditionally, financial services firms would have to close pending approval of a notice filing for actions such as changing BDs or moving offices.
April 09, 2013
FINRA’s Ketchum: Complex Products Still Need ‘Heightened Supervision’During the SEC's National Compliance Outreach Program for Broker-Dealers, Ketchum pointed to three areas that FINRA was focusing on.
April 09, 2013
LPL Names Russell’s Parker to Lead Investment and Planning SolutionsParker will be based in San Diego and report to Robert Moore, the firms president of advisor and institution solutions.
April 05, 2013
Cetera Buying Fellow IBDs Tower Square, Walnut Street From MetLifeWith the addition of 800-plus MetLife independent reps, the Cetera BD network will comprise 7,000 advisors managing $130 billion in assets.
April 05, 2013
Thornburg, fi360 Team Up for Fiduciary Training SymposiumThornburg's symposium featured the fi360 AIF capstone course and exam. What are your thoughts on fiduciary responsibility? Please take the AdvisorOne-fi360 Fiduciary Survey, which closes today.
April 03, 2013
Top 10 Fund Brands: RIA, IBD, Wirehouse Advisors’ FavoritesWhen it comes to naming names, advisors predictably pick all the big fund firms as their favorites. But look at Phoenix's survey more closely, and fascinating patterns are revealed.
April 03, 2013
Fiduciary Survey Closes FridayLast chance for RIAs, brokers and dually registered advisors to make their voices heard on fiduciary debate at the SEC and the DOL.
April 01, 2013
Raymond James-Morgan Keegan Fully IntegratedRaymond James said in early March it had wrapped up the conversion of Morgan Keegan operations and clients into Raymond James technology systems, and the Morgan Keegan brand had been retired.