Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Lincoln’s BD 401(k) Platform Combines Professional Management, Fiduciary Protection
By Danielle AndrusLincoln Trust is launching a retirement plan solution for BDs that combines 3(21) fiduciary protection and an investment lineup of risk-based asset allocation models.
February 27, 2013
Recruiting Roundup: FAs Join Morgan Stanley, Depart for BairdMeanwhile, Janney grabs advisors from Merrill Lynch and UBS.
February 22, 2013
LPL Shares Results, PlansLPL Financial said its fourth-quarter earnings declined to $36.9 million, or $0.34 a share, from $39.5 million, or $0.35 a share, a year earlier.
February 22, 2013
RJ Adds Sales, Shifts GridRaymond James Financial reported net revenues of $1.1 billion for the period ending Dec. 31, 2012.
February 19, 2013
Colorado exchange plans, brokers may dance with allCommissions could flow directly to the producers, outside of the exchange system.
February 19, 2013
A Battle Won Over Independent Contractor Status, but War PersistsIn the continuing struggle to retain independent contractor status for IBD advisors on both the state and federal level, broker-dealers have a key ally in FSI. The Waddell & Reed lawsuit is a case in point.
February 15, 2013
Barclays, Morgan Stanley, Raymond James Grab Reps From RivalsThe movement involves advisors with more than $15.6 billion in client assets under management and $36 million in yearly fees & commissions.
February 14, 2013
Securities America Names Assistant of the YearThe independent broker-dealer picks Robin Claypool of L&M Financial Rochester, N.Y.