Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Best Full-Service Investment Firms Ranked by Investors: J.D. Power—2013
By Janet LevauxThe satisfaction scores of some BDs is lower than might be expected based on reported performance alone, according to J.D. Power.
May 08, 2013
Is Schwab’s Arbitration Win Really a Loss?There's much backlash in Washington over Schwab's successful rebuttal of a FINRA challenge to its expanded mandatory arbitration clause.
May 07, 2013
Advisor headcount to decline through 2016A study pegs the number of advisors in 2016 at 298,000, down from an estimated 309,000 at year-end 2012.
May 07, 2013
Middle-Age White Guys Need Not Apply: AIG’s Advisor Group Diversifies RecruitmentThe traditional image of the wirehouse-trained advisor serving strictly HNW white males is giving way as women challenge assumptions about who the average investor is.
May 06, 2013
Advisor Group Unveils Initiative to Help Women Advisors Grow Their PracticeThe AIG-owned Advisor Group is putting its power behind an initiative to help women advisors grow their business in an admittedly "male-dominated industry."
May 03, 2013
Jud Bergman: The 2013 IA 25 Extended ProfileEnvestnet began as a turnkey asset management provider, where it remains a leader punctuated by its announced acquisition in mid-April of Prudentials Wealth Management Solutions, with its $12 billion in assets.
May 02, 2013
LPL Financial Gains Ingham as Hybrid RIA AffiliateThe Florida-based firm has more than 10 advisors and $1.5 billion in assets under administration.
May 01, 2013
Elliot Weissbluth: The 2013 IA 25 Extended ProfileLast year, when we highlighted Elliot Weissbluth on the cover of our IA 25 issue, we said that he had changed the conversation on and about Wall Street. Where is that conversation now?