Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Whither the Independent B/D?
By Melanie WaddellFurthering the consolidation trend in the independent broker/dealer industry, Securities America Financial Corp. has agreed to acquire Folsom, California-based Brecek & Young Advisors, Inc. from...
September 01, 2008
B/D or RIA? How to Decide for YourselfThe investment advisory industry has become a complex labyrinth of "contractual models" and "platforms" that advisors are supposed to navigate in order to discover how...
September 01, 2008
Who's Your Daddy?Maybe it's just me, but when one of our industry luminaries leaves their well-established position to take on a new job, it piques my curiosity....
September 01, 2008
B/D or RIA? The Case for the Flexible B/DThe financial services industry has changed radically in the past 20 years. By foreseeing the rise of fee business and building a model to accommodate...
September 01, 2008
Striking While the Iron Is HotAttempting to cement its foothold in the fast growing dually registered advisor market, Fidelity Institutional Wealth Services (IWS) and its correspondent broker/dealer business, National Financial,...
September 01, 2008
Good for GM?"What's good for General Motors is good for the country," GM president Charles Erwin Wilson reportedly declared in the Senate in 1953. Historians claim that...
September 01, 2008
B/D or RIA? The Case for the Registered Investment AdvisorI recently gave a presentation at a national conference contrasting the strengths and weaknesses of being an advisor in a wirehouse, at a bank, with...
September 01, 2008
The Winner's CircleThe Winner's Circle has proved its mettle as an enduring institution in the financial industry. A program for ranking the best financial advisors, it is...