Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
12 Best & Worst Broker-Dealer 401(k) Plans: BrightScope
By Dan BermanThe advisors own 401(k) plans at some of these BDs are lacking, BrightScope ratings show.
January 27, 2014
With 10 Years’ Experience, FSI Flexes Its Advocacy MusclesFSI marks its 10th anniversary with more individual members and with greater influence in Washington and the states, says its leader, Dale Brown.
January 24, 2014
A collective of missteps insurers have madeA report tracks the evolution of financial services industry stumbles and outlines perceived industry offenders.
January 23, 2014
PPACA uncertainty clouds carrier outlookThe uncertainty over the Patient Protection and Affordable Care Act is taking a heavy toll on health carriers.
January 22, 2014
Raymond James Posts Strong Quarterly ResultsAdvisor fees and commissions jump 10% from last year and 6% from the prior quarter, though its number of reps stays flat.
January 22, 2014
43% of advisors older than 55Nearly one-third of advisors fall into the 55 to 64 age range.
January 22, 2014
NARAB-II and NFIP -- Congress combines disparate insurance issuesTwo long-simmering insurance-industry pocketbook issues, NARAB-II and the NFIP, will be in the spotlight when the Senate returns to work.
January 21, 2014
Breakaway Brokers Move to Focus, Raymond James, OthersIn addition to ex-wirehouse advisors, independent broker-dealers, RIAs and wealth management firms are expanding with "tuck-in" deals.