Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
3 Ways to Soothe Panicked Clients
By Janet LevauxSteve Rudolph, an advisor affiliated with Commonwealth Financial, hosts calls to discuss short-term market moves and long-term investing goals.
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.
July 29, 2011
Are You a Wirehouse Broker Thinking of Independence? Consider What You OweAttorney Patrick Burns warns brokers to consider their obligations from recruitment or retention packages
July 29, 2011
Ex-LPL Execs Form New Recruiting Firm—FirstPoint PartnersCo-founders Scott Collins and Scott Miller say they already have arrangements with Raymond James, Commonwealth and major custodians.
July 28, 2011
Few Buyers for Exiting Broker-DealersWhile rumors persist about possible suitors for Securities America, Morgan Keegan and other broker-dealers on the market, experts say the pool of buyers has shrunk dramatically over the past few years.
July 28, 2011
The Perils of Financial GeographyAs an industry, we are blessed with an abundance of creative home office types who cleverly apply mathematics to convince even sophisticated advisors that they have somehow managed to squeeze more than 100 cents out of a dollar.