Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
A Trend Confirmed?
By Kate McBrideFee-based advisory revenues are higher than traditional commission-based revenues, for the first time, at Commonwealth Financial Network. It's not a change to advisory accounts from...
August 31, 2007
Time to rally around the issuesIn any industry, there are a small percentage of unscrupulous salespeople who act in their own best interest at the expense of their customers. In our industry, the bad apples are the ones who push unsuitable products on seniors in order to garner
August 17, 2007
B/Ds Vying for Top TalentA newly released joint study--The Race for Top Talent--by Pershing, a unit of The Bank of New York, and consulting firm Moss Adams says that all types of broker/dealers are vying to attract top talent. The study is a component of TalentConnect, a program recently launched by Pershing that helps...
August 17, 2007
RIAs Are Fastest Growing Distribution ChannelNew research by Cerulli Associates says that the fastest growing advisor channels are the ones with the most independence, registered investment advisors (RIAs). The biggest...
August 15, 2007
Eastbridge: Worksite Benefit Prospects Remain HighThe voluntary benefits industry remains positive about its near-term prospects.The latest Voluntary Industry Confidence Index survey by Eastbridge Consulting Group, Avon, Conn., shows the mid-year ...
August 12, 2007
Despite Noise Over McCarran Repeal, Enactment Is UnlikelyFor those insurance industry people old enough but still capable of remembering where they were when told that Elvis Presley had died, one of the ...
August 10, 2007
First Allied Securities Gains New PresidentKeith Gregg has been named president and co-CEO of independent broker/dealer First Allied Securities effective August 20, sharing the co-CEO role with Adam Antoniades, president of First Allied's parent, Advanced Eqities Financial Corp.
August 06, 2007
Spector Leaves Bear StearnsBear Stearns announced on Sunday, August 5, management changes that include the resignation of an Executive Committee and Board of Directors Member, Warren Spector, who was president and co-COO of Bear Stearns Companies Inc.