Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
It's time to step up your game
By Gil Lowerre, Bonnie BrazzellAs carriers expand their product portfolios, brokers must be ready to identify and offer best-of-breed products and solutions.
February 08, 2013
More Advisors on the Move in 2013: DiamondDiamond Consultants says this year will be a more robust recruiting year than last, based on conversations with advisors and deals closed in January.
February 07, 2013
LPL to Pay Up to $2.5M in Nontraded REITs CaseThe violations took place between 2006 and 2009 in Massachusetts, regulators say.
February 07, 2013
AIG: Cyber threats a top concern for industry execsThe threat of cyber attacks worries insurance corporate executives more than anything else.
February 06, 2013
LPL Beats Q4 Estimates, Outlines Outsourcing PlansLPL Financial said that it was planning to spend $70 million to $75 million through 2014 on outsourcing of back-office and other functions, information technology and related restructuring of its operations.
February 06, 2013
Disruptive Trends in Planning Software, Pt. 2—The Rise of ‘Middleware’How will two powerful technology trends play out for financial planners and impact their use of software in the coming years? There are several powerful implications.
February 04, 2013
Morgan Stanley Adds 4 Wells, JPMorgan Reps; Commonwealth Grabs 9 LPL AdvisorsThe reps are expected to bring over more than $430 million to the wirehouse, with some $250 million coming over to the independent broker-dealer.
February 04, 2013
One of the Most Underreported Facts of 2012Heres a bit of energy news that didnt get the attention it probably should have.