Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Editor's Blog: Sue the Bastards
By staff WriterWhen the media covers bad industry practice, the temptation to take easy potshots at the insurance world is great. Too great, sometimes.
February 01, 2011
FSI Endorses FINRA as SRO for Investment AdvisorsThe association of independent broker-dealers recommended that the SEC choose FINRA as the SRO for RIAs.
February 01, 2011
An Old Dog Learns Some New TricksI know it’s February, but I’m just getting around to reflecting back over 2010. It’s been that kind of year. In my musings, the one…
February 01, 2011
Why Arguments Like NAIFA’s Against Fiduciary Standard for Brokers May BackfireWhy the media and the public may not accept, this time, the arguments against a fiduciary standard of care for all
January 31, 2011
2011 Will Be Big BD Recruiting Year, Says Commonwealth’s DanielsAndrew Daniels, Commonwealth's recruiting chief, argues that with LPL going public, his firm will particularly benefit from movement of BD reps in 2011.
January 28, 2011
AIG's Roth Says More Small Firms to ‘Throw in the Towel’: The Weekend InterviewAIG Advisor Group President and CEO Larry Roth sees growth at FSC, Royal Alliance and SagePoint as consolidation in the independent broker-dealer space continues
January 28, 2011
Breakaway Broker Recruitment Slows at Major CustodiansBut Pershing added 30 teams with $4.8 billion in assets in 2010, and TD Ameritrade saw a 40% rise in breakaways
January 26, 2011
Engage your prospect's learning styleThe successful outcome of your next sales presentation will be determined largely by your ability to do two things very well: develop rapport with your prospect and adapt your sales message to engage his or her preferred learning style.