Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Giving to Get?
By Melanie WaddellIn a bid to push the deadlocked fiduciary rulemaking process forward, advisory and consumer trade groups that support broadening the fiduciary role for all advice givers made an unusual move in late March.
April 24, 2012
How to Make Your Voice Heard With Regulators in Your Own BackyardA good way to engage regulators and make a difference is by participating in FINRA District Committees, as FSI member Wilson WIlliams is doing.
April 24, 2012
2012 IA 25; Investing in Russia; Tech and ROI: May Investment Advisor—SlideshowMay brings the 10th annual IA 25 (well, ninth if you dont count our special 30th anniversary edition, Thirty for Thirty, in 2010), Investment Advisors editors pick of the 25 most influential people in the industry.
April 23, 2012
Ameriprise Posts Mixed Results, Raises Advisor HeadcountThe number of Ameriprise Financial advisors rose slightly to 9,744, and assets under management were $334 billion as of March 31.
April 23, 2012
Top 5 Business Women Who Tweet About Wall StreetAdvisorOne lists the top 5 business women who tweet based on number of followers, frequency of tweets, quality of posts, professional credentials and what our gut tells us.
April 20, 2012
2012 SMA International Equity Manager of the Year, No. 2: Cambiar Investors LLCYou dont have to find every single great stock out there, says Jennifer Dunne, the firms international portfolio manager and senior analyst. But if you put one in the portfolio, it better go up.
April 20, 2012
Krawcheck Seeks to Open Gold to the Masses at GBIThe former head of BofA-Merrill isn't pushing gold but better portfolio options, says an executive at Gold Bullion International.
April 19, 2012
Wealth Team Joins LPL’s Hybrid Model From Bank of TampaA new independent firm is forming in Tampa, Fla., as the leadership team of Florida Investment Advisors leaves the Bank of Tampa to join LPLs hybrid model.