Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Who's Your Daddy?
By Bob Clark, Bob ClarkMaybe 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
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...
September 01, 2008
You're the Tops—2008 Broker-Dealers of the YearIn this, the 18th year that Investment Advisor readers have chosen Broker/Dealers of the Year, it's not easy to be any kind of broker/dealer. On...
August 31, 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
August 29, 2008
John R. DiMondaJohn R. DiMonda managing director for the North Central Ohio Regional Planning Group of Lincoln Financial Advisors Corp. He is currently managing director for the Metro New York/New Jersey Region, and will continue to oversee that region. He has
August 29, 2008
NAIFA Joins Mentoring ProgramThe National Association of Insurance and Financial Advisors says it will take part in the Million Dollar Round Table/GAMA International mentoring program.The mentoring program, started ...