Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Making Magic
By Ellen UzelacWhen Raymond James & Associates recently named Dave Hilgendorf its Branch Manager of the Year, it didn't surprise those who work closest with him. He's known...
March 01, 2009
IA Interview: Changing of the Guard, Sort OfAt the recent Financial Services Institute conference in San Antonio in January, an experienced executive from a Massachusetts-based broker/dealer suggested that the CEO of his...
February 23, 2009
Wachovia FAs Get New Name, But No Traditional Retention PlanAfter completing its merger with Wells Fargo, Wachovia outlined its retention and branding efforts to advisors on February 20: Retention bonuses are not being offered, and the advisors will be renamed Wells Fargo Advisors in May.
February 20, 2009
Morgan Stanley, Smith Barney Share Retention Program with FAsThe program "awards," discussed February 20, are being offered to about 6,500 of the 20,000 advisors in the joint venture as forgivable loans.
February 13, 2009
Eastbridge: Worksite Sales Confidence SagsAbout 62% of worksite benefit marketers now expect current economic conditions to hurt sales somewhat.
February 13, 2009
Broker satisfaction declines; Compensation No. 1 driver to switch firmsWhile generally satisfied with their careers, broker satisfaction at independent broker/dealers and wirehouses declined in 2008, according to National Financial's 4th Annual Broker and Advisors...
February 10, 2009
Practice Management: Time to Make a Change?This is a time of peerless financial turmoil. Not only are the prices of stocks and bonds singularly volatile but so are the reputations of...
February 06, 2009
Wachovia Settles SEC's ARS ChargesThe SEC announced a settlement with Wachovia Securities LLC that will provide more than $7 billion in liquidity to customers who invested in ARS before the market collapsed.