Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Taps New Exec to Continue PCG Earnings Momentum
By Janet LevauxThe private-client group now has about 5,100 advisors and $278 billion in assets worldwide.
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
July 20, 2011
Fiscal Q3 Earnings: TD Ameritrade's Decline Versus Prior QuarterTD Ameritrade announced quarterly earnings on Tuesday, reporting EPS of $0.27 on profits of $157.4 million compared with EPS of $0.30 on profits of $171.7 million in the prior quarter.
July 20, 2011
Commonwealth Financial Offers Forefield Marketing Apps to Its AdvisorsIndependent BD reps will gain access to educational, CE and client communications tools at no charge from Broadridge unit.
July 18, 2011
Q2 Earnings: Schwab's Net Income Meets Estimates on ‘Soft’ TradingNet new assets in advisory accounts up year over year but down from previous quarter.
July 14, 2011
Q2 Earnings Outlook: Financial Firms’ Reporting Season Off to Good StartBut with new rules hitting banks, corporate results could face headwinds in the second quarter of 2011.