Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James’ Curtis Voices Qualified Support for Fiduciary Standard
By James J. GreenIn his coming-out as successor to Dick Averitt at Raymond James' independent contractor arm, Curtis says he would like to see better definition of an "FA-level" fiduciary standard.
May 22, 2012
The 2012 Broker-Dealer Presidents’ PollInvestment Advisor magazine asked the presidents at top broker-dealers about challenges to their business, their reps and their futures.
May 22, 2012
Investment Advisor’s 2012 Broker-Dealer Reference GuideEurope, regulation, margin squeeze, market volatility, succession planning and oh yes, the day-to-day pressures of running a business.
May 22, 2012
Hearing on Bachus' SRO Bill Set for June 6The House Financial Services Committee announced Wednesday that it will hold a hearing on June 6 on the redraft of Rep. Spencer Bachus bill calling for an SRO to oversee advisors.
May 22, 2012
Raymond James Execs Aim to Reassure Advisors About MergerAt 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
Advisor iPad App Allows Client Reviews to Go AnywhereAs long as I have my iPad with me, theres nothing I cant access. I can run into a client in a restaurant and do things on the fly, says Ted Rich of Vinoy Capital.
May 21, 2012
Raymond James Rolls Out New Advisor Software at ConfabAt the Raymond James conference, Scott Curtis took the helm as leader of RJ's independent-contractor channel while other executives unveiled the company's new desktop system.
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.