Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
12 Best & Worst Broker-Dealers: Q4 Earnings
By Janet LevauxOne of the wirehouse firms produced a turnaround in profits of almost $800 million, while another reported almost $2.4 billion in losses.
February 22, 2013
RJ Adds Sales, Shifts GridRaymond James Financial reported net revenues of $1.1 billion for the period ending Dec. 31, 2012.
February 19, 2013
Colorado exchange plans, brokers may dance with allCommissions could flow directly to the producers, outside of the exchange system.
February 19, 2013
A Battle Won Over Independent Contractor Status, but War PersistsIn the continuing struggle to retain independent contractor status for IBD advisors on both the state and federal level, broker-dealers have a key ally in FSI. The Waddell & Reed lawsuit is a case in point.
February 15, 2013
Barclays, Morgan Stanley, Raymond James Grab Reps From RivalsThe movement involves advisors with more than $15.6 billion in client assets under management and $36 million in yearly fees & commissions.
February 14, 2013
Goldman’s Blankfein for Treasury Secretary?CEO Lloyd Blankfein hinted he might like the job, just not anytime soon, in a wide-ranging interview with Bloomberg TV.
February 14, 2013
Securities America Names Assistant of the YearThe independent broker-dealer picks Robin Claypool of L&M Financial Rochester, N.Y.
February 12, 2013
It's time to step up your gameAs carriers expand their product portfolios, brokers must be ready to identify and offer best-of-breed products and solutions.