Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Pershing Taps Tibergien; LPL Expands Relationship
By Janet LevauxPershing, a Jersey City, N.J.-based unit of the Bank of New York Mellon, has turned to industry consultant Mark Tibergien, formerly of Moss Adams in...
November 01, 2007
Migration TimeRecent events in the broker/ dealer world may have set the stage for higher than usual firm-to-firm migration by representatives, some of whom have been...
October 31, 2007
The free-wheelin' days of the industry are overIn 1964 Bob Dylan declared that "The Times They Are a-Changin'" which became the emblematic anthem of the tumultuous years that followed. You could call that either a lucky guess on his part or a visionary (almost prophetic) statement of what he saw
October 19, 2007
Brokers Want Growth, Recruiting, and RetentionTo help their correspondents achieve these business goals, National Financial is launching two new initiatives to support these broker/dealers in their efforts to recruit and develop representatives.
October 16, 2007
Advantage: RIAI read an interesting article the other day pertaining to the recently overturned broker dealer rule. You see, I am currently in the process of...
October 12, 2007
Expanded Clearing OptionsAffiliates of Linsco/Private Ledger, (LPL) will have additional choices when it comes to clearing, as LPL will offer a choice of clearing through Pershing or LPL platforms.
October 11, 2007
Help in Times of CrisisEmergency planning for broker/dealers may get a bit easier with the Small Firm Emergency Partner Program announced October 11 by the Financial Industry Regulatory Authority (FINRA). The program encourages small firms to select a partner that's located far away and who clears through the same clearing firm, and agree to...
October 02, 2007
Firm Updates Statement GeneratorBenefit Software Inc. has released version 7.2 of the Fringe Facts Communicator software.Insurance brokers and others can use the Fringe Facts software to print out ...