Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Division III, Capital Financial Group/H. Beck, Inc.
By Staff WriterCapital Financial Group/H. Beck, Inc. Founder, Chairman, and CEO Eric Meyers Founded: 1981 Producing reps: 624 2007 estimated gross revenue: $70 million 2006 average annual gross production per rep:...
September 01, 2007
Through the YearsThis is the 17th year that Investment Advisor readers have chosen Broker/Dealers of the Year. During the first four years of voting, the top five...
September 01, 2007
Know What Else I Could Use?It would seem that reps participating in this year's survey are for the most part pretty satisfied with the products and services that their B/Ds...
September 01, 2007
Division IV, Cambridge InvestmentCambridge Investment Research, Inc. Founder, President, and CEO Eric Schwartz Founded: 1981 Producing reps: 1,099 2007 estimated gross revenue: $235 million 2006 average annual gross production per rep: $207,000 Ratio of...
September 01, 2007
News & ProductsMorgan Stanley DW Inc. has been fined $1.5 million by the Financial Industry Regulatory Authority (FINRA), and ordered to pay more than $4.6 million in...
September 01, 2007
Around the TableIt's no surprise that regulation remains the greatest challenge for leaders of the 2007 Investment Advisor Broker/Dealers of the Year, flanked by recruiting, transitioning to...
September 01, 2007
A Trend Confirmed?Fee-based advisory revenues are higher than traditional commission-based revenues, for the first time, at Commonwealth Financial Network. It's not a change to advisory accounts from...
September 01, 2007
A Broker's BrokerLast June, when the financially troubled Brookstreet Securities Corp. collapsed, some 500 advisors were instantly out of work. Behind the scenes, recruiter Larry Papike was...