Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
It’s Coming Back Around Again
By John SullivanAs long-time readers realize, it isnt the first go-around for many of the 2011 Broker-Dealer of the Year winners.
August 23, 2011
Private Equity Firm Buys Indy BD First AlliedIndependent broker-dealer First Allied announced that it has joined in an acquisition deal with private equity firm Lovell Minnick Partners, allowing the BD and Lovell to buy First Allied from parent Advanced Equities.
August 22, 2011
Cerulli: Wirehouse Channel Losing GroundThe dually registered advisor channel could control 8.5% of client assets in 2012, according to Cerulli Associates Inc.
August 22, 2011
SMAX: Let's get it on!It's that time of year again for the only true peer-to-peer event in the industry, the Senior Market Advisor Expo.
August 22, 2011
FSC Names Jerry Murphy New President and CEOAtlanta-based FSC Securities Corp., one of Advisor Groups three independent broker-dealers, said it named Jerry Murphy as its new president and CEO on Monday.
August 19, 2011
Raymond James Adds HNW Advisor From UBSThe $1 million producer is expected to join the independent channel of Raymond James with about $110 million in client assets.
August 19, 2011
Securities America Sale: Final Price Could Be $220 Million; Big Retention BonusesLadenburg Thalmann files 8-K; retention bonuses of 15% of yearly fees and commissions are being offered by the company, sources say.
August 18, 2011
Your target group is crucial to referralsIt is crucial to have a good definition of your target group in order to be more referable.