Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Rolls Out High-Net-Worth Credit Line
By Janet LevauxAdvisors have already made 72 of these new loans as an alternative source of liquidity in recent weeks, the company says.
March 12, 2012
Morgan Stanley Team Goes Hybrid via LPLThe group, one of the largest teams in San Diego, left Morgan Stanley Smith Barney recently to set up an independent wealth-management firm, Ibis Capital. The firm plans to retain about 80 client relationships.
March 11, 2012
Hey Boomers: Better Get Better at Communicating with Younger GenerationsThe insurance industry has the jobs, but is failing to attract the talent to fill them. Boomer insurance execs need to learn why the disconnect exists and do a better job of positioning younger generations on the path to business ownership.
March 09, 2012
Baird Grabs MSSB Branch Manager in MaineThe former Morgan Stanley branch manager oversaw 50 reps and $4 billion in assets.
March 02, 2012
Baird Boosts Recruiting as Reps Boost Sales 12.5%Milwaukee-based Baird now includes about 700 financial advisors, says Matthew Curley, national sales director and COO of Bairds private-wealth management operations.
March 02, 2012
Raymond James Grabs Two Merrill Teams in SoutheastA team joins the employee channel with $2.7 million in production and $853 million in assets, while the indie advisors have production of about $860,000 and total assets of $140 million.
March 02, 2012
Charles Goldman to Advisors: Be Paranoid About Your BusinessFormer Schwab, Fidelity executive warns SSG advisors at conference to avoid arrogance, focus on forming a vision for their firms and not to overlook power of wirehouses.
March 02, 2012
SERFF'S up for NAICThe unilateral decision by officials of National Association of Insurance Commissioners to broaden the use of the System for Electronic Rate and Form Filing (SERFF) to include regulatory purposes is coming under strong fire from industry trade groups.