Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Barclays Introduces Financial Personality Assessment for HNW Clients
By Jane Wollman RusoffThe firm's wealth management arm employs a team of behavior finance experts in effort to tie portfolio to personality.
October 26, 2010
LPL Financial Boosts Net Income as Advisor Growth SlowsThe number of LPL Financial Advisors is now just above 12,000.
October 26, 2010
SIFMA's Ryan: Financial Industry, Regulators Face 'Unprecedented Task' Under Dodd-FrankRyan: a fiduciary standard for brokers will likely be a "modified '40 Act standard" that incorporates additional disclosures. But it will be "disclosure that's understood."
October 26, 2010
At Commonwealth, J.D. Power Award Won't Change Recruiting ProcessAndrew Daniels says he tells his recruiters "all the time" that Commonwealth Financial remains a "work in progress" despite its many honors, including a J.D. Power award.
October 25, 2010
Find the Right Balance: Broker-Dealer Service RatiosOne of the best ways of checking quality service is a firm's rep-to-staff ratio. In fact, this ratio is a key attribute that too many...
October 25, 2010
What Drives High Turnovero Unreasonable management o Low pay or poor benefits (the highest retention firms pay in the upper 25% for their industry or region) o Firms with numerous...
October 21, 2010
Raymond James' New Ad Campaign Is 'Evolution' From Prior BrandingThe TV ads, which appear during the baseball playoffs, attempt to emphasize the importance of professional advice.
October 21, 2010
Raymond James Tops Forecasts as Advisor Growth SlowsTotal advisor force falls to 5,334 in the quarter, down 41 from last year