Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Investors Cap at $1 Bil AUM; To Host First Women's Confab
By Janet LevauxInvestors Capital, which has some 550 independent advisors, now has more than $1 billion in assets under management.
May 11, 2010
U.S. Job Openings Continue Rise in March With Increase of 47,000Departures also totaled 47,000, offset by 231,000 more hires, Bureau of Labor report shows
May 11, 2010
Thomson Reuters Unveils Advisor Tool for ProposalsThomson Reuters has released a new proposal generator for financial advisors called PropGen. The software is meant to help advisors create business pitches for prospective and existing clients in a few minutes.
May 11, 2010
Fidelity Separates Asset Management From DistributionAbigail Johnson promoted to head all of distribution; Ronald O'Hanley hired to lead asset management and corporate services.
May 10, 2010
WealthManagerWeb Exclusive: Fiduciary Expert Ron Rhoades on the B/D ExemptionWhatever happened to the repeal of the broker/dealer exemption allowing brokers to give advice to customers--but not require a fiduciary duty to those clients?
May 10, 2010
UBS, CFP Name New Head of CFP's Council on EducationThe Certified Financial Planner Board of Standards and UBS Wealth Management announced Monday, May 10, that Mark Kordes, head of wealth planning for UBS in the United States, will serve as the new chairman of the CFP Board's Council on Education.
May 10, 2010
Fiduciary Expert Ron Rhoades on Status of Broker/Dealer ExemptionThe B/D exemption from fiduciary duty to customers lives on, but legislation may change that.
May 10, 2010
Fiduciary Expert Ron Rhoades on the Status of the Broker/Dealer Exemption(This story originally appeared on WealthManagerWeb.com) Whatever happened to the repeal of the broker/dealer exemption allowing brokers to give advice to customers--but not require a fiduciary...