Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Investment Advisor’s 2012 Broker-Dealers of the Year—Barry Knight: Video
By John SullivanEditor-in-Chief John Sullivan talks to the president and CEO of NEXT Financial Group and Division III winner of the 2012 Broker-Dealers of the Year about his firms culture and whether the succession planning message is sinking in.
August 24, 2012
Investment Advisor’s 2012 Broker-Dealers of the Year—David Pintaric: VideoEditor-in-Chief John Sullivan talks to the president of WRP Investments Inc. and Division II winner of the 2012 Broker-Dealers of the Year about running a family firm and transitioning firms from one generation to the next.
August 23, 2012
One Group’s StoryMoving from the brokerage world to independent status is a major decision that shouldnt be rushed.
August 23, 2012
Calculating the TabWhat does it cost to get the door open as an independent advisor?
August 23, 2012
Advisor Group to Acquire WoodburyAdvisor Group, part of the SunAmerica Financial Group, said in late July that it planned to buy Woodbury Financial Services from The Hartford.
August 23, 2012
Clearing's New SpaceIn these challenging timeslethargic economy, record-low interest rates, high market volatility, softer trading volumes and a regulatory overhaulthe top firm in the clearing space has decided to totally transform its business model.
August 23, 2012
The Tab for IndependenceCan advisors across the spectrum afford to go independent, no matter their asset level? Opinion is mixed.
August 23, 2012
Before Leaping to Independence, Look at Your MotivationIf you want to join the RIA ranks, first make a candid assessment of your reasons for doing so.