Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors Giving Back: Commonwealth’s Nelson Ball Does It All
By Janet LevauxFinancial advisor Nelson Ball has found many ways to support his community and a variety of causes.
November 21, 2012
Royal Alliance Adds Two Teams With $550 Mil in AUMThe independent broker-dealer in Advisor Group says it is reaching out to teams focused on aggressively growing their practices; grabs one big VA group from LPL; another from NPC.
November 20, 2012
Revolutionizing Advice, Pt. 2: Transforming the BD AdvisorThe nature of the advice investors demand is changing, as are investors and advisors themselves. In the conclusion of this two-part series, how broker-dealers can transform their advisors to benefit from Advisor 2.0.
November 20, 2012
Finding Safe Harbour: How a Small BD Is Doing It RightWe dont think were any smarter than anybody else, David Rosenow humbly began. Its just maybe were better listeners at times.
November 20, 2012
A New Platform for Alternatives; Finding Safety for Small BDs: December Investment Advisor—SlideshowAnother year is gone and with the December issue of Investment Advisor comes a look at a new platform to help advisors manage alternative investment assets.
November 19, 2012
LPL Adds $8.2 Billion Credit Union to PlatformLPL, the independent broker-dealer, says it now has over 685 banks and credit unions as clients.
November 19, 2012
Mr. Dodd goes to HollywoodChris Dodd has gone from the senate to lobbying for the film industry.
November 16, 2012
Revolutionizing Advice, Pt. 1: Transforming the Broker-DealerThe nature of the advice investors demand is changing, as are investors and advisors themselves. In part one of a series, we present the concrete steps broker-dealers should consider to remain relevant after the revolution.