Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
NAVA Is Rebranded as IRI
By Melanie WaddellInsured Retirement Institute says it also has a new mission
July 16, 2009
LPL Financial to integrate broker/dealers, break from Pershing platformLPL Financial Corporation announced Wednesday it will fully integrate advisors from three of its affiliated broker/dealers - Associated Securities Corp., Mutual Service Corporation, and Waterstone...
July 15, 2009
LPL Shifts 1,700 Reps Onto Its Own Clearing PlatformMoves advisors from three broker/dealers away from Pershing
July 14, 2009
Five Core Principles of the Authentic Fiduciary StandardLeaders in the investment industry have called on Congress to "adopt an authentic fiduciary standard in Wall Street reforms," and offered "five core principles" to help clear up what fiduciary means for investors.
July 13, 2009
Fidelity Enhances Broker WorkstationStreetscape platform to add Thomson Reuters capabilities
July 12, 2009
Another Benefit of Independence: SelectivityThings have been very busy lately and business is booming. There comes a time though when you need to take a breather. I decided I...
July 10, 2009
Ameriprise Hit with SEC Enforcement ActionAmeriprise Financial Services, Inc., has agreed to pay the Securities and Exchange Commission $17.3 million to settle an enforcement action.
July 09, 2009
Art Lures NAHU AttendeesAflac Inc. commissioned a painting of its spokesduck to get the attention of the agents and brokers attending the recent National Association of Health Underwriters convention in New York.