Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Why It’s Called the Web, Plus How I Use Insurance to Update Clients’ Financial Plans
By Mike PattonMike Patton discusses how he's enhancing his website, and how he updates financial plans with an eye toward life insurance.
November 19, 2010
Five Most-Read Stories: LPL's IPO, VA Guide, Taxes on WealthyAdvisorOne's Most Read Stories for the week of Nov. 13-19, 2010 include the LPL IPO and a new guide to evaluating VAs.
November 19, 2010
What LPL's IPO Filing Reveals About the Largest IBD, and the IndustryPhilip Palaveev describes what LPL's IPO filing suggests about the sources of the firm's revenue, and how independent broker-dealers survive.
November 18, 2010
LPL Kicks Off Its IPO, in Much Anticipated MoveLPL's IPO successfully passed its first test, as its shares rose 7% in trading Thursday, closing at $32.15 with 8 million shares traded.
November 18, 2010
LPL IPO: Advisors React, Saying LPL's ‘Come a Long Way’LPL Financial's public offering is good news to many advisors, though some are cautious about its long-term impact.
November 18, 2010
LPL IPO: Brokerage-Firm IPOs and Recruiting: The Good, the Bad and the UglyFrom a recruiting standpoint, going public has both pros and cons for LPL Financial. Already there are rumors of big defections to come after some of its top producers cash out through the IPO.
November 18, 2010
LPL IPO: Trading Comes as Deals Flood the MarketIn the week that LPL Financial has launched its IPO, the financial services IPO market has returned to a position of strength after passing through an unwelcoming summer period.
November 17, 2010
LPL IPO: Commonwealth’s Rooney on the Benefits of Private OwnershipJohn Rooney, managing principal of Commonwealth Financial's San Diego office, says that among the leadership ranks of the independent B/D where he's spent the last 22 years, there are no regrets on staying privately owned.