Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Hit With Reg S-P Fine Over Hacking Incidents
By Melanie WaddellLPL has become the latest victim of the SEC's Reg S-P crackdown. The SEC announced September 11 that it had brought an enforcement action against...
September 01, 2008
Working to keep electronic media compliantQ: You are a registered representative with a FINRA-registered broker-dealer. You also have your own business, John Smith and Associates. You create a Web site and set up email under that name. Can you do this? You also have your own fixed business
September 01, 2008
About the ManagerJim Moffett, lead manager of the UMB Scout International Fund and the UMB Scout International Discovery Fund, has more than 35 years experience in investment...
September 01, 2008
Broker/Dealer of the Year, Division IIThe Investment Center CEO and President Ralph DeVito A rep speaks: "They have been terrific. They are there when you need them, going the extra mile; and...
September 01, 2008
About the AdvisorTony Purpero Senior Financial Advisor and Consultant Partnervest Financial Group LLC 510 Castillo Street Santa Barbara, California 93101 Phone: 805-966-1266 E-mail: [email protected] Web site: www.partnervest.com Year firm founded: 2001 Number of advisors in firm:...
September 01, 2008
Honor RollYear in and year out, most voting reps give their individual B/Ds high marks. Following is the list of firms that garnered first, second, and...
September 01, 2008
In the Unlikely Event I Would Ever Leave You . . .The good news for independent broker/dealers? The overwhelming majority of reps surveyed in the annual Broker/Dealer of the Year voting are quite happy, thank you,...
September 01, 2008
Broker/Dealer of the Year, Division IVCambridge Investment Research Founder, CEO, and President Eric Schwartz A rep speaks: I am constantly approached by other B/Ds to affiliate with them but have always declined....