Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Kaiser: 73% of Brokers Dislike PPACA; 20% Like It
By Allison BellAbout 4% of health insurance brokers say PPACA will make brokers better off, and 14% say it won't make much difference.
June 13, 2012
Raymond James, LPL Add Morgan Stanley Advisors as MSSB Grabs Wells TeamTwo teams leave Morgan Stanley to go independent, while another chooses to keep its employee status.
June 12, 2012
Securities America Has ‘Never Been Stronger’At Securities America's national conference in Denver, Jim Nagengast, CEO and president, was optimistic about the firm's future and partnership with Ladenburg Thalmann, which acquired the broker-dealer in the fall.
June 12, 2012
S&P Capital IQ Launches Subadvisory Unit to Aid Indie AdvisorsS&P Capital IQ is getting into the subadvisory business in a big way, targeting independent advisors who seek help in building model portfolios.
June 11, 2012
A Guru, a President and Pershing Execs Talk Tech and Leadership: Insite RecapA look at the highlights of the Pershing Insite 2012 conference, focusing on leadership and strategy, from Bill Clinton to Pershing CEO Brian Shea, from leadership guru Deepak Chopra to advisor guru Mark Tibergien.
June 08, 2012
At Pershing Insite, a Plea for BDs to Scrutinize Reps’ Outside DealingsJoan Schwartz of Pershing warns BD executives to better scrutinize such dealings, since this is how bad reps are stealing clients money.
June 08, 2012
Pershing Co-CIO Announces 3 Big Technology InitiativesLucille Mayer steps into Suresh Kumars shoes and touts NetX360 for end clients, next-gen managed accounts and complete business solutions.
June 07, 2012
Commonwealth Adds Three Kansas Firms to Fold With $375 M in AssetsCommonwealth Financial Network announced Tuesday that it has added three independent financial services firms located in Overland Park, Kan.