Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fidelity: How to Take Advantage of '$700 Billion' Mass Affluent Opportunity
By John SullivanNew research from Fidelity Institutional seeks to help advisors to take advantage of what they call the $700 billion mass affluent opportunity.
October 21, 2011
IAA’s Tittsworth: Fiduciary Ruling Likely in Q1 of 2012: RISAt Retirement Income Symposium, David Tittsworth provides recent history and likely next developments on fiduciary standard for all.
October 20, 2011
FSI Sharply Hikes BD Members’ Dues to Boost Lobbying EffortsThe FSI said that its board of directors voted unanimously to expand its reach on Capitol Hill and in the states and that a boost in its BD members dues will help the lobbying group.
October 20, 2011
Annuities Find New Opportunities with Banks, Broker-DealersAlan Grissom explains the changes and opportunities in the annuities field, as such disparate entities as banks and broker-dealers, among others, have already begun to jump on the annuity bandwagon.
October 20, 2011
Annuities Find New Opportunities with Banks, Broker-DealersAlan Grissom explains the changes and opportunities in the annuities field, as such disparate entities as banks and broker-dealers, among others, have already begun to jump on the annuity bandwagon.
October 19, 2011
Raymond James’ Income Flat as Advisor Headcount Rises: Q3 EarningsPrivate-client sales for the past 12 months were nearly $2.2 billion, a 15% increase over the 2010 fiscal year.
October 19, 2011
Options Usage Means More High-Net-Worth Clients, Study Finds: RIS 2011Advisors who use options have larger books of business and tend to be more experienced than advisors that do not use options.
October 17, 2011
Q3 Earnings: Schwab Misses Estimates as Average Revenue Per Trade FallsNet new assets in Advisor Services totaled $10.6 billion, a 33% year-over-year increase and no change from the second quarter of 2011.