Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Pax World Enters 'Sustainable' ETF Space with ESG Shares
By John SullivanPax World Funds, a sustainable- investing firm, announced Wednesday, May 19, that it launched ESG Shares, what it claims is the first family of exchange traded funds devoted exclusively to a "sustainable investing approach."
May 19, 2010
COUNTRY Financial Survey: Fully Insuring Largest Assets Low Priority for AmericansA COUNTRY Financial survey reveals that although nearly half (46%) say the majority of their net worth is represented by the equity in their home, just 2% say having the right level of insurance protection is their biggest financial priority.
May 19, 2010
Commonwealth Financial Network Releases Updated CMS for AdvisorsCommonwealth Financial Network has released a revised version of its CRM 4.0 contact management system.
May 19, 2010
New Greenway Family Office in St. Louis Serves High Net Worth ClientsJoan Malloy, a veteran wealth management specialist, and two partners have formed the Greenway Family Office in St. Louis to serve high net worth families through a multi-family office structure.
May 19, 2010
NAPFA Makes Big Comeback at National Meeting"NAPFA is back," Bill Baldwin, 2009-2010 chair of the National Association of Financial Advisors, told the assembled multitude as the organization of fee-only planners opened its national meeting in Chicago on Wednesday, May 19.
May 18, 2010
NPH Announces Slight Increase in Year-Over-Year Sales for Q1On the heels of a strong earnings announcement from parent company Jackson National Life, National Planning Holdings, Inc. (NPH), the broker/dealer unit owned by the Michigan-based insurance company, announced mixed results on Tuesday, May 18.
May 18, 2010
SEC Warns Investors of Bogus 'U.S. Securities and Equities Administration'A sham outfit calling itself the "U.S. Securities and Equities Administration" may be charging investors fees to remove alleged stock restrictions or to release non-existent government funds, the U.S. Securities and Exchange Commission (SEC) warns.
May 18, 2010
European ETF Sponsors Receive Licenses for S&P 500 Index FundsNew products will expand global access to U.S. equity markets.