Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fiduciary Challenge: The 2011 fi360 Article Competition
By Kate McBrideCalling all fiduciary thought leaders, share your insights on helping fiduciaries better understand and perform their roles or advocate for higher standards of care.
February 08, 2011
Call for NominationsQuick message, people. Benefits Selling, a sister publication to National Underwriter, has extended its deadline for nominations for the Broker of the Year award to ...
February 08, 2011
Daniel Maurer Joins Cetera Network’s Multi-Financial as Senior VPBrokerage Multi-Financial Securities Corp. announced Tuesday that Daniel W. Maurer has joined the firm as senior vice president of national sales.
February 08, 2011
LPL's Casady, Moore Relay Strategy on Recruiting, Revenue, RIA Custody GrowthDuring LPL Financial’s first Q4 earnings conference call for analysts on Tuesday, CEO Mark Casady reiterated the company’s plans to add an average of 400 new representatives a year to its advisor ranks, which at year-end totaled 12,444.
February 08, 2011
Commonwealth Financial to Raise Payouts, Cut Ticket ChargesCEO Wayne Bloom says move to cut costs for advisors and clients, raise payouts for fee-based advisors reflects growing importance of fee business to the independent BD.
February 07, 2011
2010 Q4 Earnings: LPL Financial Posts Big Jumps in Revenue, Adjusted Net IncomeLPL announced its first quarterly and FY results on Monday as a public company, and other than significant charges related to its IPO in the fourth quarter of 2010, it posted more than solid gains in revenue and profitability.
February 07, 2011
HighTower's Weissbluth: ‘Choice’ Argument Against Fiduciary ‘Intellectually Dishonest’HighTower CEO says choice in product and how the client wants to pay for services can be provided under a fiduciary standard
February 07, 2011
SSgA Launches Sector ETFs as RBS Rolls Out Trendpilot ETNState Street Global Advisors rolled out funds tracking the health care, telecom and transport sectors