Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FSI Marches on Washington
By Melanie WaddellIndependent broker/dealers and investment advisors lobbied members of Congress with a three-pronged message during the Financial Services Institute's (FSI) Public Policy Day in Washington September 13.
September 01, 2006
What Do Reps at Independent B/Ds Want?As part of the annual balloting process that culminated in the announcement of the 16th annual Broker/Dealers of the Year, Investment Advisor asked voting representatives...
September 01, 2006
Contemporary Financial SolutionsWhen it comes to an innovative business model, West Palm Beach, Florida-based Contemporary Financial Solutions may have the most unique business plan: it welcomes lower...
September 01, 2006
Man Versus MachineTechnology is our friend, right? That's what I've always heard anyway. Given a recent experience, I may reserve judgment for a while. Like many of you,...
September 01, 2006
Podcast: Broker/Dealers of the YearThe September issue of Investment Advisor contains coverage of our 2006 Broker/Dealer of the Year winners. In preparing that cover story, Editor-in-Chief Jamie Green and...
September 01, 2006
Next Financial GroupOnly seven years old, NEXT Financial has won broker/dealer of the year honors for the sixth year in a row, and did it in three...
September 01, 2006
On the Workbench at AFS: Online Trading, but Not Yet MobileTerry Thorsen knows all about mom-and-pop shops. As the founder of New York-based Automated Financial Services, which provides front-office software, Thorsen knows first hand how...
September 01, 2006
News & ProductsThe SEC issued a Request for Proposals (RFP) due August 24 for phase one of a major study of how regulators' rules for investment professionals...