Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
A Time for Resiliency
By Mary ScottGlobalization and technology have heightened the interconnection, interdependence and fragility of today's marketplace. In response, Philip Kotler and John Caslione, authors of "Chaotics: The Business...
April 01, 2009
B/D Briefing: It's Time for More Clients"Great marketing," says Ruth Papazian, "is about being ahead of the trend in figuring out not only where the market is going, but where advisors...
April 01, 2009
B/D Briefing: News & ProductsFINRA has proposed a rule to amend the Uniform Application for Securities Industry Registration or Transfer form (U4) and the Uniform Termination Notice for Securities...
April 01, 2009
Raymond James Euphoric Over Recruiting; Introduces New Leader at Confab(LAS VEGAS) Executives of Raymond James Financial Services met with about 1,500 of the firm's 3,120 independent advisors during the group's annual professional-development conference, held...
April 01, 2009
Simply IndispensableIn a one-and-a-half page memo to Commonwealth Financial Network's advisors sent in January, new CEO Wayne Bloom mentions the word "indispensable" or "indispensability" five times. "It's...
March 31, 2009
Down, not outWhen I get calls from readers, they generally fall into one of two categories: 1. They have a pitch for me. 2. They have a comment about a recent story. But a call I received recently was unlike any other I've answered here. It was from an
March 24, 2009
Stifel Shares Details on UBS Acquisition (March 24, 2009)St. Louis-based Stifel, Nicolaus & Company says it entered a deal with UBS Financial Services to acquire up to 55 branches and 320 financial advisors from the UBS Wealth Management Americas branch network.