Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
NEWS & PRODUCTS, JULY 2007
By Kara P. StapletonWachovia announced May 31 that it will acquire A. G. Edwards and fold it into Wachovia Securities, LLC, creating what Wachovia called the "second largest...
July 01, 2007
Client DepreciationWhile attending a recent broker-dealer conference, I had the opportunity to talk with a group of financial advisors in a relaxed, pub-like atmosphere. Just like...
July 01, 2007
B/Ds in the Year 2010In dusting off our crystal ball, we thought of taking a prophetic approach to what lies ahead for our industry, attempting to answer such vexing...
July 01, 2007
Protect YourselfWhen it comes to protecting themselves from disgruntled clients and the long arm of regulators, advisors and their broker/dealers have to be on the ball....
July 01, 2007
Going PrivateHear that? It's the sound of a very big door opening into the elite, large, 144A private securities marketplace. Not only will companies that want...
June 27, 2007
New President for Woodbury Financial ServicesWalter White was named president of Woodbury Financial Services, in Woodbury Minnesota, succeeding Brian Murphy, who will be chairman of Woodbury Financial and was in...
June 21, 2007
New Super SRO NamedMary Schapiro announced in a speech June 19 that the new self-regulatory organization (SRO) formed by the consolidation of NASD and NYSE Member Regulation is called the Securities Industry Regulatory Authority (SIRA).
June 19, 2007
Eastbridge: Brokers Lead In Worksite SalesEmployee benefit brokers accounted for 46% of worksite sales in 2006, according to Eastbridge Consulting Group Inc.Career agents captured a 29% share of the market; ...