Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Top 10 Trends in Wealth Management for 2012
By Marlene Y. Satter, Joyce HansonWhither wealth management? The industry will continue to undergo radical changes that began in 2008, says Aite Group in a detailed report.
January 20, 2012
Wirehouse Push Into Indie-BD Space Could Follow Wells’ ModelBut making a semi-independent or fully independent channel work within the wirehouse world is no easy feat, experts say.
January 20, 2012
IMCA Conference Comes to NYC Featuring Ezrati, GolubIMCA will bring a wealth of speakers to its Jan. 30-31 consultants conference on Times Square in New York City.
January 20, 2012
New Tool for BDs to Meet FINRA Rule 2111 on Suitability StandardsIpreo launches new compliance certificate to meet revised suitability standard, establishing a BD's ability to exercise independent judgment.
January 19, 2012
Advisor Group Indie BD Network to Roll Out Salesforce.com CRMThe Advisor Group technology launch brings Salesforce Sales Cloud, Service Cloud and Chatter to nearly 5,000 advisors from FSC, Royal Alliance and SagePoint.
January 18, 2012
Wirehouse Market Share Declines as Firms Focus on ProfitabilityWirehouses are continuing to lose ground in asset management market share, but do they even care? A new report from financial services industry research firm Cerulli projects that the four biggest brokerage firms will remain the largest distribution channel by a factor of nearly two.
January 18, 2012
Regs Rule: A Closer Look at the Fiduciary StandardExpanding the scope of the fiduciary standard to include insurance agents may be a "square-peg, round-hole" solution.
January 18, 2012
Raymond James Execs Court Morgan Keegan Advisors, StaffRaymond James moves to assure, retain Morgan Keegan FAs, branch managers and administrative personnel.