Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
IRI Research to Serve as ‘Backbone’ to One-Stop Licensing Clearinghouse
By Melanie WaddellIRI announced Monday a new research initiative to identify regulatory burdens facing BDs that impede their abilityand their advisors willingnessto sell lifetime income products.
June 19, 2012
As Morgan Stanley Loses Another Team, Is It ‘Under Siege?’Troubles, including a downgrade by Moody's, continue for Morgan Stanley.
June 15, 2012
Kaiser: 73% of Brokers Dislike PPACA; 20% Like ItAbout 4% of health insurance brokers say PPACA will make brokers better off, and 14% say it won't make much difference.
June 14, 2012
5 Quick Takeaways From MDRT’s Main PlatformPresenters at this years gathering, held last week in Anaheim, Calif., provided plenty of great advice and interesting thoughts about the business of selling life insurance. Here are a few gems taken from some of the main platform speakers on June 12.
June 14, 2012
Broker-Dealers: Is Smaller Better?Once-sleepy regional broker-dealers are suddenly attractive to advisors and asset managers.
June 13, 2012
Raymond James, LPL Add Morgan Stanley Advisors as MSSB Grabs Wells TeamTwo teams leave Morgan Stanley to go independent, while another chooses to keep its employee status.
June 12, 2012
Securities America Has ‘Never Been Stronger’At Securities America's national conference in Denver, Jim Nagengast, CEO and president, was optimistic about the firm's future and partnership with Ladenburg Thalmann, which acquired the broker-dealer in the fall.
June 12, 2012
S&P Capital IQ Launches Subadvisory Unit to Aid Indie AdvisorsS&P Capital IQ is getting into the subadvisory business in a big way, targeting independent advisors who seek help in building model portfolios.