Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisor Group Touts Plans at Confab
By Janet LevauxThe Advisor Groups three broker-dealers had strong results in 2011, according to President and CEO Larry Roth.
March 22, 2012
The Hartford Breakup: What It Means for Woodbury RepsIts part of a trend of large insurance companies parting ways with their broker-dealers, a research director with FA Insight said.
March 22, 2012
Raymond James on Morgan Keegan Deal: Reps to Come; Earnings to GoCompany says retention of Morgan Keegan reps is 98%, which one recruiter calls irrelevant; quarterly earnings will take a hit.
March 21, 2012
Outsourcing the Back Office Across the GlobeNow that Lou Dobbs and other TV talking heads have mellowed on the outsourcing hysteria circa 2004, a sober look at the strategy, especially when it comes to the broker-dealer back office, is yielding positive results in efficiencies and cost containment.
March 21, 2012
The Hartford Exiting Life, Annuity Business, Exploring Sale of BD WoodburyThe Hartford says it plans to concentrate on its mutual fund and property and casualty operations.
March 21, 2012
Advisors ‘Energized’ Over Fee Disclosure, Fiduciary Rules: ASPPA’s Graff"Obviously advisors are concerned about the proposals, but NAPA has energized them," Brian Graff, CEO and executive director of ASPPA, told AdvisorOne in an interview on Tuesday.
March 21, 2012
Piling On Goldman While Obscuring the Big TruthWhat's been almost entirely missing from the frenzy is a discussion of why Goldman Sachs, according to Greg Smith, was not violating federal regulations.
March 20, 2012
National Planning Holdings Reports Record Annual Revenue, 5% Jump in RepsNational Planning Holdings Inc., the network of independent broker-dealers that is an affiliate of Jackson National Life, announced Tuesday that in 2011 it posted a 13.5% increase in revenue to a record $788 million, with a 14% increase over the prior year in product sales to a record $16.3 billion.