Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wachovia to Hire 900 Reps, Again, with New Private Client Exec.
By Janet LevauxMorgan Stanley isn't the only firm with a new brokerage executive tapped from the ranks of Merrill Lynch: Wachovia Securities has signed James Hays to...
June 01, 2006
A Transitions B/DWhat happens if a representative becomes disabled or passes away? "Normally the broker/dealer would retain all commissions, and the surviving spouse or beneficiary would receive...
June 01, 2006
News & ProductsAt the Fidelity Executive Forum in late April, Fidelity Brokerage Company's National Financial (NF) clearing firm unit demonstrated a number of new services and products...
June 01, 2006
NEXT Financial's Auld Has Big PlansNEXT Financial Group has doubled its size every two years since 1999 and expects to continue its aggressive growth pattern in the near future. Its...
June 01, 2006
The Best B/DsBalloting for Investment Advisor's 16th annual Broker/Dealers of the Year awards will take place online only at www.investmentadvisor.com from June 1 through July 1. All...
June 01, 2006
Regulating Annuity SalesThe NASD is taking steps to assess oversight of the sales of all types of annuities by the patchwork quilt of regulatory agencies overseeing the...
June 01, 2006
UBS-Piper Jaffray Deal: 'It's a Terrific Deal'UBS is buying Piper Jaffray, which could bring it 800-plus advisors and put it more solidly in fourth place behind Merrill Lynch, Wachovia Securities and...