Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FSI '09 OneVoice Conference Outlines Future of Independents
By Janet Levaux(San Antonio) Independent broker-dealers and advisors are determined to speak out in Washington, D.C., to ensure that expected regulatory changes in the financial industry don't...
March 01, 2009
Making MagicWhen Raymond James & Associates recently named Dave Hilgendorf its Branch Manager of the Year, it didn't surprise those who work closest with him. He's known...
March 01, 2009
UBS Taps Top FAs in Texas, Shores Up U.S. Wealth ManagementWhile fierce speculation continues about the future of UBS' U.S. wealth-management operations, the Swiss-based firm added 274 advisors in the fourth quarter of 2008 and...
March 01, 2009
Editor's Note: For Your ConsiderationAs editor of this magazine and someone who's been covering the independent advice industry for more than 10 years, I sit in an interesting spot....
March 01, 2009
IA Interview: Changing of the Guard, Sort OfAt the recent Financial Services Institute conference in San Antonio in January, an experienced executive from a Massachusetts-based broker/dealer suggested that the CEO of his...
February 23, 2009
Wachovia FAs Get New Name, But No Traditional Retention PlanAfter completing its merger with Wells Fargo, Wachovia outlined its retention and branding efforts to advisors on February 20: Retention bonuses are not being offered, and the advisors will be renamed Wells Fargo Advisors in May.
February 20, 2009
Morgan Stanley, Smith Barney Share Retention Program with FAsThe program "awards," discussed February 20, are being offered to about 6,500 of the 20,000 advisors in the joint venture as forgivable loans.
February 13, 2009
Eastbridge: Worksite Sales Confidence SagsAbout 62% of worksite benefit marketers now expect current economic conditions to hurt sales somewhat.