Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schwab Improves Results but Misses Estimates; Citi Tops Expecations on Strong Sales
By Janet LevauxThe advisor services unit sees strong year-over-year flows and asset improvement.
April 11, 2013
Pershing’s Dellarocca: Advisors Lack Time to Deal With Time ManagementAdvisors would like to fire an average of 13% of their clients, Pershing's Kim Dellarocca says. Maybe they should.
April 11, 2013
Best Investment Firms Ranked by Advisors: J.D. Power 2013 Satisfaction SurveyOver the past 12 months, only one of the four wirehouses showed a significant drop in advisor satisfaction.
April 11, 2013
ING U.S. to Rename Itself Voya Financial as IPO ProgressesThe rebranding is designed to highlight INGs U.S. operations as Americas retirement company; ING Financial Partners BD will be renamed as well.
April 10, 2013
Florida’s Notice-Filing Legislation Affects Advisors NationwideTraditionally, financial services firms would have to close pending approval of a notice filing for actions such as changing BDs or moving offices.
April 09, 2013
We’re in an Extended Bull Market, So Get Used to It: Tiburon CEO SummitTiburon CEO Summit host Chip Roame pointed out advisor trends and opportunities after stock strategists Richard Bernstein and Bob Doll spelled out why were in a long-running bull market.
April 09, 2013
Recruiting Roundup: Baird Grabs Wells FAs, UBS Branch Manager; Royal Adds 2 Indie GroupsThe new Baird group has about $770 million in client assets, and the new Royal Alliance-affiliated reps have more than $400 million.
April 09, 2013
Going Indie? Afraid of Losing Clients? Don’t BeDespite fears they might lose clients when going independent, 79% of advisors who switched to the indie model in the last two years say most clients stuck by their side, Schwab Advisor Services reported Tuesday.