Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The State of Investor Trust, or Distrust, Fiduciary and the CFP Board
By Knut A. RostadIs the argument over a fiduciary standard for all advice-givers, and the CFP Board's position on a fiduciary standard for CFPs, missing the bigger point?
October 24, 2012
Raymond James Boosts Q3 Earnings, Loses 37 RepsThe firm says it is upbeat about recruiting, as lower-producing Morgan Keegan advisors depart.
October 24, 2012
LPL Grabs $175M Team From SagePointThe 19-member group is based in Southern California and focuses on boomers, as well as members of Gen X and Y.
October 23, 2012
Breach of Fiduciary Duty Most Common FINRA ComplaintWhile attending the last in a series of events to celebrate what the Institute for the Fiduciary Standard christened as Fiduciary September, one comment stood out: The No. 1 compliant in FINRA arbitration cases is breach of fiduciary duty.
October 23, 2012
6 Overlooked Criteria for Broker-Dealer Due DiligenceIts not surprising that when the majority of registered reps look to change their broker-dealer, they tend to focus on short-term factors and immediate satisfaction.
October 19, 2012
Pandit’s Exit Means End of ‘Shock and Awe’ Era: Bank AnalystThe heyday of volatility at the big banks could be replaced by a "boring" period, says SNL Financial's Nancy Bush.
October 18, 2012
Survey: Is a securities license important to you?What is your opinion on getting a securities license? Do you currently have one and, if you dont, will you be getting one?
October 17, 2012
Prudential Team With $450M Moves to LPLThe group brings with it six advisors and plans to hire another 15 in the near future.