Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Time for a Transition (IX): How to Build Client Loyalty, Part I
By Marie SwiftPart I on easy and effective ways to stay in front of your clients, prospects and strategic partners.
May 12, 2010
Barclays Wealth Adds Another FA; Boutique Firm Now Has 250 AdvisorsThe growing firm, started after Barclays bought a unit from Lehman Brothers, now has more than $240 billion in assets under management.
May 12, 2010
Barclays Wealth Adds an Advisor in Florida OfficeBarclays Wealth has tapped a former JP Morgan advisor, Gary Krieger, to serve as a director and investment representative in its Palm Beach, Fla., office.
May 12, 2010
Options Investors Are Smarter, Busier, and Richer, Study FindsTrade group views financial advisors as target market for more options investing
May 12, 2010
SEC Commissioner Luis Aguilar States Unequivocal 'Support of Extending a Fiduciary Duty to Broker-Dealers'In an unusual step, SEC Commissioner Luis Aguilar issued a "Statement in Support of Extending a Fiduciary Duty to Broker-Dealers who Provide Investment Advice," on Tuesday, May 11.
May 12, 2010
Center for Retirement Research Finds Healthy Pay Higher Costs Than Unhealthy in RetirementFinding attributed to longer life spans for healthy individuals, translating to higher health care costs in long run
May 12, 2010
Commissioner Luis Aguilar States Unequivocal "Support of Extending a Fiduciary Duty to Broker-Dealers who Provide Investment Advice"An unusual step for an unusual time.
May 12, 2010
U.S. Jobs Report Overshadows News of Rising UnemploymentPrerecession employment levels are years away, an analyst reports.