Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
T.J. Pool on being an "ethical advisor"
By Daniel WilliamsT. J. Pool of Arlington, Texas-based Options Marketing, Inc. recently shared his thoughts with us on being an ethical advisor. Following are highlights from that discussion.
December 18, 2009
Ed Jones Survey Says: Americans Want to Save'Increase savings' ranks as the top financial priority for Americans in 2010, according to an Edward Jones survey of 1,000 individuals.
December 16, 2009
Commonwealth: 'Record 2009 Recruiting;' New FA-Revenue Tops $60 MillionCommonwealth's average revenue per new, or recruited, advisor increased 40 percent year-over-year, reaching $350,000 in gross dealer concessions (GDC), or sales commissions.
December 16, 2009
Advisor Jobs: Encouraging SignsThe Securities Industry lost 900 jobs in November, but the job market for the industry appears to be establishing a bottom. Also encouraging is the level of hiring-related activity and aggressive plans for next year by many industry employers.
December 15, 2009
Time for a Transition (IV): Using Special Events to Boost BusinessTom McCarthy, affiliated with Commonwealth Financial, uses LifeBio system to build rapport with current clients and special guests - a great "next generation" strategy for smart advisors nationwide.
December 15, 2009
FA Outlook for 2010: Demand to Remain StrongAs bedlam gives way to calm, top advisors should like the new order at the wirehouse, regional and independent broker-deals.
December 14, 2009
Partisanship on SteroidsPassage of the financial reform legislation in the House is historic and important. It may also be, unfortunately, short-lived in the current, toxic partisan environment.
December 11, 2009
Financial Reform Bill Approved: House Vote Is 223-202FINRA will not have oversight of advisors associated with B/Ds, for now.