Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Six Things Not to Tell a Branch Manager
By Mark ElzweigConversations between branch managers and prospective hires should not include any of the following gaffes.
April 15, 2010
Five Things Breakaway Brokers Need to KnowThere has been a sizeable uptick in brokers leaving the big broker/dealers (B/Ds) for the RIA world. And why not? RIAs' fiduciary model "resonates at the consumer level," as investors begin to understand the difference between RIAs and brokers.
April 13, 2010
Susan Merrill, FINRA's Enforcement Chief, to Join BinghamMerrill will lead law firm's broker-dealer group
April 12, 2010
Baird Grabs Smith Barney FA; Will Head New Portland OfficePerez has 29 years of industry experience, 23 of which were in branch-management roles at Smith Barney, Shearson Lehman Brothers and E.F. Hutton in Oregon and Northern California.
April 12, 2010
Unsung Heroes in the Rise of a Fiduciary StandardI've written many times over the years about how Ron Roge and other members of the NAPFA board virtually singlehandedly drove fee compensation for advisors...
April 09, 2010
Investors Cap Adds $1 Mil Advisor GroupNortheast Investment Advisors has eight financial advisors, generates over $1 million in annual sales and manages over $100 million in assets.
April 02, 2010
Jobless Rate Unchanged at 9.7% in MarchBut 162,000 full-time jobs added; part-time jobs rose as well
April 01, 2010
Fidelity Launches Service to Help Brokers and RIAs Deal With New Cost Basis RegsNew regulations laid out in the Emergency Economic Stabilization Act of 2008 that are due to take effect in January 2010