Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Exec Upbeat on FA Growth, Praises Morgan Keegan
By Janet LevauxRaymond James expects its advisor headcount to continue to expand this year, generally through the hiring of individual advisors and teams, but a merger or acquisition is not out of the question.
July 27, 2011
Commonwealth Plucks 3 Top-Producing Firms From Securities AmericaIndependent BD adds Tonkinson Financial, Capital Wealth Management and Smallwood Capital.
July 27, 2011
Raymond James Taps New Exec to Continue PCG Earnings MomentumThe private-client group now has about 5,100 advisors and $278 billion in assets worldwide.
July 26, 2011
Hard Time for BDs on the Block to Find SuitorsWhile rumors persist about possible suitors for Securities America, Morgan Keegan and other broker-dealers on the market, experts say the pool of buyers…
July 22, 2011
FINRA Charged With Poor Transparency, Needs Closer Scrutiny—Compliance WatchThe non-governmental regulator lacks the 'checks and balances' of other government regulators, U.S. Chamber of Commerce charges.
July 21, 2011
TD Ameritrade Adds More Breakaway BrokersTD Ameritrade has attracted 260 affiliated advisors from national firms and independent broker-dealers in the past nine months.
July 21, 2011
Dodd-Frank, the IBD Perspective: FSI’s Chief Warns of Restricted Investor ChoiceFSI CEO Dale Brown says that one year later, “We have no more certainty” on key issues than when the bill was signed.
July 21, 2011
Dodd-Frank: FPA, CFP Board Say Much 'Still in Play' for AdvisorsFPA's Dan Barry and CFP Board's Marilyn Mohrman-Gillis tell AdvisorOne that advisors will be affected by a host of changes in year two of Dodd-Frank