Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Pick 'Em
By Staff WriterThis is the 18th year that Investment Advisor has asked its readers who are registered representatives of independent broker/dealers to anonymously rate their own broker/dealers...
September 01, 2008
A Culture of CompetitionTo best describe one of the major differences I've experienced personally between the broker approach and the RIA approach, I'd like to take you back...
September 01, 2008
Broker/Dealer of the Year, Division IIINEXT Financial Group President Barry Knight A rep speaks: Having come from a career agency, the limitations I experienced and the pressure to present the home office's...
September 01, 2008
Top AIG Advisors Share Their Secrets of Success(CHICAGO) The AIG Advisor Group hosted "Why Women Are Winning," a female-advisor event at the Ritz-Carlton from July 13-15. The event drew some 100 advisors...
September 01, 2008
Whither the Independent B/D?Furthering 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
Far From RetiredWhen Tony Purpero decided to sell his book of business after close to 30 years in the wirehouse world and move from Medford, Oregon, back...
September 01, 2008
What's NEXT for Reg S-P?Firms recruiting breakaway brokers need to be wary in the wake of a very stern administrative law judge's decision sanctioning NEXT Financial Group, Inc. for...
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...