Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Execs Aim to Reassure Advisors About Merger
By Janet LevauxAt the Raymond James independent-advisor confab, Scott Curtis and other executives told prospective new affiliated reps to expect transition and other services to remain steady.
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.
May 16, 2012
Morgan Stanley Grabs Merrill, UBS Reps; Raymond James Snags MSSB TeamMeanwhile, Wells Fargo adds advisors from Edward Jones, Merrill Lynch and other firms, and Barclays recruits several advisors from Deutsche Bank and Merrill.
May 16, 2012
5 Best & Worst Advisor Partner Firms: Q1 EarningsThe wirehouses, top IBDs and associated players serving advisors had their earnings fall as much as 718% and improve up to 13% in Q1AdvisorOne selected 10 to spotlight.