Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Culture Wars
By James J. GreenAt Investment Advisor, we cover both registered investment advisors and independent broker/dealers. While once upon a time these were parallel universes, these days there are...
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...
September 01, 2008
Who's Your Daddy?Maybe 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
B/D or RIA? The Case for the Flexible B/DThe financial services industry has changed radically in the past 20 years. By foreseeing the rise of fee business and building a model to accommodate...