Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Making the Connection: Communicating with Clients in Uncertain Times
By James J. GreenWhen it comes to understanding how advisors are operating amid still-volatile markets and within an economy whose growth prospects are dim, there are multiple ways...
September 01, 2010
The Playing Field: The Dodd-Frank Reform Bill AfterlifeIt's been more than a year since I took a hiatus from writing about the competitive playing field to focus on covering the colossal financial...
September 01, 2010
Optimists: The 20th Annual Broker/Dealers of the YearOur Broker/Dealer of the Year survey has come of age. Twenty years of change, innovation, regulation, boom, bust (and boom again) in the independent...
September 01, 2010
Washington Watch: Industry Heeds SEC's Call for CommentsThe advisory industry is wasting little time in telling the Securities and Exchange Commission (SEC) how it should proceed on crafting a fiduciary duty for...
September 01, 2010
ISM Manufacturing Up, but ADP Private-Sector Jobs DownThe overall effect of all the economic data rolling in on Wednesday, September 1, was flat as the ISM manufacturing report showed strength but the ADP jobs report showed weakness.
September 01, 2010
IA Soapbox: B/D Marketing Departments Are WrongI believe the job of a B/D marketing department is two things: First, help the reps attract new prospects. Second, help the reps grow their...
September 01, 2010
Broker/Dealer Briefing: News and ProductsSecurities America, the 1,900-representative independent broker/dealer, announced July 26 that it had named Jim Nagengast to succeed Steve McWhorter, who resigned in January as CEO...
September 01, 2010
Wells Fargo Moves to Fix Wachovia Tax-Withholding IssueThe bank began letting legacy Wachovia advisors set their own tax-withholding level on commissions in August, after automatically withholding 25% for the past seven months.