Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Hires Two Merrill Advisors
By Janet LevauxRaymond James said Wednesday that it had added two Merrill Lynch advisors to its Raymond James & Associates branch office in Tallahassee, Fla., with about $114 million in assets and more than $600,000 in yearly fees and commissions.
August 15, 2011
Baird Adds 5 Morgan Stanley Advisors in Salt Lake CityThe veteran financial advisors joining Baird manage $250million-plus in client assets.
August 12, 2011
3 Ways to Soothe Panicked ClientsSteve Rudolph, an advisor affiliated with Commonwealth Financial, hosts calls to discuss short-term market moves and long-term investing goals.
August 11, 2011
IRA Owners on Brokerage Chopping BlockIndividual retirement account holders may find themselves brokerless if the DOL adopts its proposed fiduciary duty rules.
August 10, 2011
Sponsors Limit Target Date Fund Picks: FRC StudyAlthough an entire series of target date funds may be marketed to retirement plan sponsors, they may decide to choose only a few funds out of the series, according to a new analysis of 401(k) recordkeeper platforms by the Financial Research Corporation
August 08, 2011
LPL Financial Enrolls Its 12,600 Advisors With FSILPL Financial says all its advisors are now members of the Financial Services Institute, an advocacy group for independent broker-dealers and financial advisors.
August 04, 2011
5 Best & Worst Broker-Dealers: Q2 EarningsBrokerage firms in the second quarter boosted earnings growth as high as 470% and reported declines as low as 383% AdvisorOne selected a lucky 10 for scrutiny.
August 02, 2011
Investors Cap Founder, Ted Charles, Sells Stake to AdvisorsCharles retires following the sale of his 55% stake to advisors, clients and home-office staff.