Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEI Advisor Network Added 406 RIAs, Hit $31 Billion in Assets in ’10
By Janet LevauxNew advisor growth increases more than 60% vs. 2009 for the wealth-management services provider.
March 05, 2011
Cetera Adds 35 FAs From QA3, Taps Ex-LPL Exec for Top Sales PostBroker-dealer veteran Allison Couch, previously with LPL Financial, comes on board as its national sales manager
March 04, 2011
Power of Independent RIAs Causing Asset Management Shake-UpFee-only consultants gaining in influence and assets.
March 02, 2011
FPA Backs Fiduciary Standard, Reaches Out to FSI MembersThe FPA is sticking by its fiduciary standard of care, says group president Martin Kurtz, and is also looking to re-engage FSI members while searching for ways to help provide education and advice to more Americans.
March 02, 2011
Broker-Dealer NFP Securities Changes Its Name, Sharpens Its FocusAccording to James Poer, over the past two to three years NFP Securities has quietly changed its focus.
March 01, 2011
Time to Move?If there’s one theme in the industry that nearly everyone seems to share, it’s that the time is right, now, for the movement of advisors and their clients’ assets.
March 01, 2011
A Study in FlexibilityNow that the euphoria that followed the SEC’s Study on Investment Advisors and Broker-Dealers has waned a bit, it’s time to take a more somber look at what this much-awaited document says.
March 01, 2011
In Support of a True, Genuine, Authentic, Real, Not-Your-Broker’s Fiduciary StandardOpponents have adopted a strategy of appearing to support a fiduciary standard in principle, and then actively lobbying to water it down to the point of adding no new investor protections at all.