Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James’ FAs Boost Results 15% in May
By Janet LevauxTotal assets under administration grew 20% year over year to $282 billion in May 2011
June 17, 2011
Raymond James’ Elwyn on FAs and Satisfaction of Volunteering: Weekend InterviewClose to 300 advisors and other volunteers from more than 15 branch offices share 1,000 hours to improve their communities in May.
June 16, 2011
J.D. Power Broker Survey: Investor Satisfaction Up, Wirehouse Scores Stay LowRBC Wealth Management ranks highest, followed by Charles Schwab and Fidelity.
June 15, 2011
Raymond James Taps Former UBS Exec, Morgan Stanley Consultant as Head of ITBella Loykhter Allaire will lead the firm's technology and operations divisions beginning on June 20
June 15, 2011
Schwab, TD Ameritrade Daily Trades Drop Over 22% in MayDiscount brokers see decline in client activity as major stock markets post similar results.
June 14, 2011
Brokers Beware: Clients and Prospects Can Easily Find Your Disciplinary Histories on the WebWill FINRA’s new web-accessible discipline database be a benefit or burden to your brokerage business?
June 10, 2011
At Pershing Insite, CEO Shea Reveals Support Strategy, Upgrade Plans“Our business model is one of shared economies of scale,” says Brian Shea, referring to Pershing, the company of which he is CEO. Speaking of Pershing’s broker-dealer and RIA clients, he said “we leverage each other’s respective strengths.”
June 10, 2011
Pershing’s NetX360 Stronger Now Thanks to Its Users, Says Suresh KumarThe ‘crowd sourcing’ of 100,000 users translates to an ever-stronger, flexible technology program.