Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Firm Reaps Huge Growth Fulfilling Advisors’ To-Do Lists
By Gil WeinreichWe connect the dots between what the advisor knows he needs to do and what he has time to do, says Robert Fross of Platinum Advisor Strategies.
October 09, 2013
Roame Predicts Next Scandal in Advisory IndustryThe consultant points to the next industry scandal in his keynote address at confab in San Francisco, along with several other key trends.
October 09, 2013
H.D. Vest Hires LPL Vet to Lead Marketing, RecruitingRuth Papazian will be chief marketing officer; Adi Garg to head information services.
October 07, 2013
New Layer of BD Audit Rules Mulled by PCAOBThe new standards will have a "wide impact" if adopted, says securities lawyer Josh Horn.
October 03, 2013
Fiduciary rules will cost millions in complianceThe proposed changes to the fiduciary standard could cost up to $8 million to set up and about $2 million a year to maintain, per broker-dealer.
October 03, 2013
Merrill Nabs $11M Team From UBS; Raymond James Recruits $1.8M Group From FiNetMeanwhile, Morgan Stanley adds a $1.9 million institutional advisor from Merrill in Atlanta.
October 02, 2013
8 Steps to a Successful Succession Plan: United PlannersToo many advisors still run their firms as a practice, rather than a business, says UP's Caffari-Agasi.
October 02, 2013
Advisor Group Taps Compliance Chief as CEO to Replace RothErica McGinnis says she won't attempt to fill Larry Roth's shoes and is grateful for his leadership and legacy.