Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Protecting Confidential Data: What BDs Do Right, Wrong
By Melanie WaddellAn SEC report describes strengths and weaknesses found in exams into how broker-dealers keep material nonpublic information from being misused.
September 25, 2012
Breach of Fiduciary Duty No. 1 Complaint in FINRA Arbitration CasesExperts including former SEC Chairman Harvey Pitt and Ron Rhoades debated whether brokers should be held to the same fiduciary standard as advisors.
September 25, 2012
What Advisors Need to Know Before Going IndependentA webinar hosted by AdvisorOne presented guidance on how advisors can decide whether to break awayand if so, some of the essentials they should know to make it a successful move.
September 21, 2012
Raymond James Boosts Fees, Commissions 8% in August to $250MThese results are complemented by a 1% jump in assets to $383 billion.
September 21, 2012
LPL Grabs Pennsylvania Group With 24 FAs, $500MDelaware Valley Financial is affiliating with LPL Financial's broker-dealer and corporate RIA platform.
September 20, 2012
MSSB Reps Depart for Wedbush, BairdThe Morgan Stanley advisor joining Baird oversees $120 million in assets.
September 19, 2012
Advisors Going Independent: The Issues, the Costs, the PayoffsA Sept. 25 Web seminar featuring Tom Giachetti, Tim Welsh and David Patchen addresses the key issues for any advisor looking to 'break away' from a wirehouse, change broker-dealers or go completely independent as a RIA.
September 18, 2012
LPL Team With $250M Jumps to FSC SecuritiesThe Advisor Group broker-dealer says it attracted the team of Burton and Whittingham thanks to its open culture and IT architecture.