Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
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By David HollanderQ: You are a registered representative with a FINRA-registered broker-dealer. You also have your own business, John Smith and Associates. You create a Web site and set up email under that name. Can you do this? You also have your own fixed business
August 25, 2008
Investors Cap Taps Murphy as President/CEO (Aug. 25, 2008)Investors Capital Holdings has announced that Timothy B. Murphy is its new president and chief executive office. He is also head of the firm's independent broker-dealer and investment advisors - Inves
August 20, 2008
Securities Jobs Remain Surprisingly Flat (Aug. 20, 2008)This was a negative, but not as bad as the consensus number of 70,000 and coupled with upward revisions to May and June, some saw a glimmer of recovery in this report, says Jeff Testerman of brokerhun
August 20, 2008
Many Worksite Sellers See Strong SalesA study finds 42% of voluntary employee benefit marketers say their voluntary sales so far this year have been higher than expected.Last year at this ...
August 19, 2008
Fisher Investments Buys Another RIALighthouse Capital Management of Houston, a 20-year-old practice with $460 million in AUM that was founded by Paul Horton. On December 31, 2007, Fisher closed on its first RIA acquisition, that of Econostrat of Bloomfield Hills, Michigan. While Mark Scalzo, the group VP who heads M&A at Fisher Investments, would...
August 12, 2008
W.P. Carey Hires Mark GoldbergMark Goldberg, the veteran independent broker/dealer executive who most recently ran AIG's Royal Alliance B/D, has landed at W.P. Carey as president of Carey Financial,...
August 11, 2008
Former AIG Exec. to Focus on Private REITs (Aug. 11, 2008)Investment firm W. P. Carey & Co. has announced the appointment of Mark M. Goldberg as president of Carey Financial, LLC, the company's broker-dealer subsidiary. The unit is responsible for wholesalin
August 07, 2008
Tech Firm To Distribute Flash ToolZywave Inc. has joined forces with Etekhnos Inc.Zywave, Milwaukee, a company that sells software systems to insurance brokers, has arranged to distribute the eSharemarketing Flash ...