Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Survival Strategies for IBDs
By Melanie WaddellWhat will the industry look like 10 years from now? What it will take for advisors and broker-dealers to survive that long?
February 21, 2014
UBS, Raymond James Grab $2M Teams From RivalsMeanwhile, Sapient recruits a rep from RBC in Oregon, a new RIA opens its doors in Minnesota, and an ex-Ameriprise group joins LPL.
February 19, 2014
Raymond James Program Grooms Associates for Advisor RolesAfter a pilot program, the firm says it will look to train additional client assistants to boost the number of female reps.
February 18, 2014
Investors Cap Grows Sales 20% but Reports LossThe IBD says expenses rose due to higher commissions and fees, as well as legal expenses tied to its merger with Nicholas Schorschs RCS Capital.
February 18, 2014
Securities America Hybrid RIA Platform Adds Sales DirectorHybrid-advisor platform Arbor Point names Jeffrey Schmaltz a sales director; a former Edward Jones rep discusses how to navigate the tough road to independence.
February 17, 2014
6 Best Financial Firms for Advisor Service: DalbarDalbar's Financial Intermediary Service Award for 2013 rates the top firms in service to financial professionals.
February 14, 2014
Raymond James Adds $100M Team; $84M Rep Returns to Securities AmericaThe team joins from Wells Fargo, while the advisor comes back after departing from Valmark Securities.
February 14, 2014
Remember the PEOsThere's another way for employers and their brokers to handle PPACA hassles.