Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
From a Small B/D, Regulatory and Risk Concerns
By Staff WriterBroker/Dealer Advisory Board member Nick Sondel, president and CEO of Harbour Investments, in Madison, Wisconsin, and Broker/Dealer of the Year winner in Division I (up...
June 01, 2008
What Will It Mean to Be an Independent Financial Advisor?With baby boomers moving into self-funded retirement, the advisor will need to become expert at risk analysis, risk management and financial life planning. There will...
June 01, 2008
What's in Store for the Mutual Fund Industry?What has the mutual fund industry accomplished in the past 30 years, and how is it poised to build on these developments in the next...
June 01, 2008
The Presidents SpeakIn each of the past 15 years, Investment Advisor has asked independent broker/dealers to provide information for the IA Broker/Dealer Directory, and last year started...
June 01, 2008
NEWS & PRODUCTS, JUNE 2008A $5 million fine imposed against American Fund Distributors (AFD) for directed brokerage in 2006 stands, according to a ruling issued by the National Adjudicatory...
June 01, 2008
Two-Way StreetSo I'm a slow learner. My education on independent broker/dealers began in the first week of January 1999 at a hole-in-the-wall, but very good, Malaysian...
June 01, 2008
The New Model: The Fee-Only Broker/DealerThere is one overriding question for broker/dealers today: Who needs one, and why? After all, RIAs are prospering quite nicely without having to use the...
June 01, 2008
Transfer TimeFor advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it's time...