Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Brokers, Get Ready: Suitability Rule Set to Take Effect
By Marlene Y. SatterFirms that are already concerned about the recommendations made to clients based on their existing portfolios now have this new wrinkle: the prospective customer, lawyer Brian Rubin says.
June 29, 2012
LPL, Baird Stage Major Volunteer ProjectsRaymond James plans a large community-focused effort for August.
June 29, 2012
Top 10 RIA-Friendly Indie BDsInvestment Advisor magazines 2012 BD Reference Guide helps sort and rank IBDs in five major categories, with AdvisorOne here highlighting 10 by their accommodation to RIAs.
June 27, 2012
LPL, Wells’ FiNet Tap New ExecsLPL FINANCIAL SAID IN EARLY JUNE THAT Dan Arnold, currently head of strategy for the largest independent broker-dealer, had been named chief financial officer of the company, the latest step in a management reorganization that has played out over the last few months.
June 27, 2012
Averitt Retires as CEO at RJFS ConferenceDick Averitt retired as CEO of Raymond James independent-advisor channel in late May.
June 27, 2012
Gentlemen’s Agreement: RIAs and Reps Agree on More Than Some Would Have Us BelieveI feel compelled to put in my two cents on a comment made about fi360/AdvisorOnes 2012 Fiduciary Survey.
June 27, 2012
Scottrade’s Spirit; Pursuing Practice Excellence; Fiduciary Best Practices: July Investment Advisor—SlideshowMost people are happy enough to talk about themselves, but Brian Davis, who is the focus Investment Advisors cover story, consistently highlights his teams efforts in providing value and service at Scottrades institutional arm.
June 26, 2012
The Spirit of Scottrade: Little Firm Pushes Big ValueIf you havent heard of Scottrade Advisor Services, youre forgiven. Started in 2005, it resides in the decidedly non-financial hub of St. Louis, but the institutional business is coming on strong, finding a niche among the big boys.