Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
California Advisors, BDs Could Face New Employment Rules
By Janet LevauxFSI is lobbying against new regulation of independent contractors in the Golden State
June 15, 2011
Raymond James Taps Former UBS Exec, Morgan Stanley Consultant as Head of ITBella Loykhter Allaire will lead the firm's technology and operations divisions beginning on June 20
June 15, 2011
Schwab, TD Ameritrade Daily Trades Drop Over 22% in MayDiscount brokers see decline in client activity as major stock markets post similar results.
June 14, 2011
Brokers Beware: Clients and Prospects Can Easily Find Your Disciplinary Histories on the WebWill FINRA’s new web-accessible discipline database be a benefit or burden to your brokerage business?
June 10, 2011
At Pershing Insite, CEO Shea Reveals Support Strategy, Upgrade Plans“Our business model is one of shared economies of scale,” says Brian Shea, referring to Pershing, the company of which he is CEO. Speaking of Pershing’s broker-dealer and RIA clients, he said “we leverage each other’s respective strengths.”
June 10, 2011
Pershing’s NetX360 Stronger Now Thanks to Its Users, Says Suresh KumarThe ‘crowd sourcing’ of 100,000 users translates to an ever-stronger, flexible technology program.
June 07, 2011
Why Personal Financial Planning Can’t Be CommoditizedUnlike some observers, why I believe independent advice will never become like one more barrel of oil.
June 06, 2011
WFP Securities Latest Broker-Dealer to CloseLatest company to shutter in MedCap, Provident case.