Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Grabs $175M Team From SagePoint
By Janet LevauxThe 19-member group is based in Southern California and focuses on boomers, as well as members of Gen X and Y.
October 19, 2012
Pandit’s Exit Means End of ‘Shock and Awe’ Era: Bank AnalystThe heyday of volatility at the big banks could be replaced by a "boring" period, says SNL Financial's Nancy Bush.
October 18, 2012
Survey: Is a securities license important to you?What is your opinion on getting a securities license? Do you currently have one and, if you dont, will you be getting one?
October 17, 2012
Prudential Team With $450M Moves to LPLThe group brings with it six advisors and plans to hire another 15 in the near future.
October 16, 2012
Baird Grabs 7 Reps With $970M as Janney Adds New ManagerThe new Baird reps join from Morgan Stanley, Citi and other firms.
October 16, 2012
Raymond James Execs Boast ‘Huge Strides’ in TechnologyThe firm and its advisors are benefiting from the Morgan Keegan acquisition, along with certain policies and investments, tech executive Bella Loykhter Allaire said.
October 15, 2012
Raymond James CEO on Future Deals: If They Make Sense, ‘We Will Do Them’Following the Morgan Keegan deal, though, the firm is focused more on nice acquisitions
October 12, 2012
How Raymond James Boosts Female AdvisorsAs women make strides at the firm as advisors, one group discusses what else needs to be done to boost their role and numbers in wealth management.