Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Broker/Dealer Briefing: A Shot Over the Bow
By James J. GreenThe regulatory stew in Washington is beginning to come together, with Mary Schapiro confirmed to chair the SEC and with the Commission's enforcement chief, Linda...
March 01, 2009
March B/D Briefs: News & ProductsCommonwealth Financial Network announced in late January that Wayne Bloom, its managing principal of wealth management, will succeed Chairman Joseph Deitch as CEO effective immediately...
March 01, 2009
FSI '09 OneVoice Conference Outlines Future of Independents(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
Advise Together, Rise TogetherJ. Christopher Cooke never entertained the idea of working with his financial advisor father for fear that, he says, they "might kill each other." Similarly, Mike...
March 01, 2009
Leadership in Tough TimesImagine several dozen of the nation's top financial advisors dressed in Under Armour, getting their blood drawn by technicians in white lab coats. Throw in...
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....