Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Time to rally around the issues
By Brian AndersonIn 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
September 01, 2007
Leading the WayThe representatives of independent broker/dealers are fiercely independent people who utterly reject the drawbacks (and benefits) of the wirehouse employee broker model. As independent reps,...
September 01, 2007
The Fair Value Pricing Gap Narrows"A more universal view of fair valuation policies and procedures exists today in the investment management industry," writes Paul Kraft, a partner in Deloitte &...
September 01, 2007
Division II, Brecek & Young Advisors, Inc.Brecek & Young Advisors, Inc. Chairman and CEO Christopher Ranney Founded: 1992 Producing reps: 291 2007 estimated gross revenue: $42.2 million 2006 average annual gross production per rep: $150,538 Ratio...
September 01, 2007
I'm really happy here. But if I weren't . . .Each year, there are several "fill-in-the-blank" fields on the Broker/Dealer of the Year ballot. One, for instance, asks which products and services reps would like...
September 01, 2007
Division III, Capital Financial Group/H. Beck, Inc.Capital Financial Group/H. Beck, Inc. Founder, Chairman, and CEO Eric Meyers Founded: 1981 Producing reps: 624 2007 estimated gross revenue: $70 million 2006 average annual gross production per rep:...
September 01, 2007
Clustered Near the TopThe good news for the independent broker/dealers who competed in the 17th annual balloting for Investment Advisor Broker/Dealers of the Year is that the vast...
September 01, 2007
A Practitioner's View on the Merrill RuleBefore we move on to portfolio management, let's discuss some of the recent developments concerning the broker/dealer exemption rule, aka the Merrill Lynch rule. The...