Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Investment Advisor’s 2012 Broker-Dealer Reference Guide
By John Sullivan, Liana RobertsEurope, regulation, margin squeeze, market volatility, succession planning and oh yes, the day-to-day pressures of running a business.
May 21, 2012
Advisor iPad App Allows Client Reviews to Go AnywhereAs long as I have my iPad with me, theres nothing I cant access. I can run into a client in a restaurant and do things on the fly, says Ted Rich of Vinoy Capital.
May 21, 2012
Raymond James Rolls Out New Advisor Software at ConfabAt the Raymond James conference, Scott Curtis took the helm as leader of RJ's independent-contractor channel while other executives unveiled the company's new desktop system.
May 21, 2012
FINRA CEO: BrokerCheck Revamp Won’t Include Test ScoresAt FINRA's annual conference, Richard Ketchum on Monday addressed concerns from brokers and advisors over test scores on the revamped BrokerCheck and other key issues.
May 18, 2012
Edward Jones Looking for Advisors Among Military VeteransEdward Jones announced Thursday that it was recruiting financial advisors from among military veterans with a new program, FORCES.
May 18, 2012
Shorting Facebook: Nerves of Steel or Simply Stupid?As the hysteria continues over the most expensive technology IPO in Wall Street history, certain investors are laying the groundwork for a Facebook short.
May 17, 2012
LPL Names Sallie Larsen Chief Human Capital OfficerFormer Fed Home Loan Bank HR executive becomes member of LPLs executive committee.
May 17, 2012
FINRA Updates BrokerCheck With More Advisor InformationSeveral of the changes implemented by FINRA address recommendations made in a January 2011 study by the SEC.