Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors on the Go: Barclays Adds 3, Baird Picks Up 2 and Raymond James Hires 1
By Janet LevauxBarclays Wealth said Wednesday that it had hired three advisors for its Latin American ultra-high-net-worth operations, while Baird announced on the same day that it had picked up two advisors in San Francisco. On Monday, Raymond James employee-channel added a top producer in Houston.
October 01, 2011
Separate but Equal?To hear Duane Thompson tell it, now that the Republicans have control of the House of Representatives, a bill authorizing a self-regulatory organization for investment advisors any time soon is unlikely.
October 01, 2011
Top 5 Reasons Advisors Change Broker-DealersFive years ago I wrote about what motivates advisors to change their broker-dealer; many things have changed today.
September 09, 2011
Fusion Names Industry Veteran Salameh as Chief Marketing OfficerFormer TD Ameritrade marketing director will provide marketing consulting services to advisors affiliated with Fusion Advisor Network, led by Philip Palaveev and Stuart Silverman.
September 06, 2011
Commonwealth Snags Three Securities America Top ProducersLadenburg Thalmanns offer to buy Securities America may have staunched the hemorrhaging, but some leakage is still in evidence as Commonwealth grabbed three top producers from the troubled broker-dealer.
September 06, 2011
Private Equity Carlyle Group Going PublicPrivate equity giant The Carlyle Group filed with the SEC to launch an initial public offering of common stock a week after the firm made a minority investment in Avalon Advisors.
September 02, 2011
Insurance, Muni Bonds Not Dampened by IreneHurricane Irene may have roared up the coast last weekend, but she did not leave complete financial wreckage in her wake. Neither the insurance industry nor the municipal bond market was devastated, despite the billions of dollars in damage.
September 01, 2011
Ameriprise Posts Positive Q2 Earnings, No Sale Yet of Securities AmericaAmeriprise Financial said net income from continuing operations — excluding Securities America — was $313 million, or $1.25 per share, in the…