Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Good, The Bad, and The Supporting Data
By Staff WriterThe bad news first--wealthy investors don't have much loyalty to most brokerage firms, according to a recent national study by Cogent Research, Investor Brandscape: 2007,...
June 01, 2007
Interesting TimesSweeping changes are whirling across the independent broker/dealer landscape in 2007, with major changes at, and coming from, the NASD, SEC, and potentially, Congress. Although...
June 01, 2007
Look Before LeapingAs I indicated in my previous column on the subject of transition planning for advisors ("Hold On to Your Clients"), this month I am calling...
June 01, 2007
StreamliningWhile broker/dealers have thrown practically everything technology-wise but chicken soup at advisors over the past several years, they've learned that choice can be overpowering. Sure, having...
June 01, 2007
Building CollaborationReps of Securities America Inc. are thrilled with the company's new initiative, a knowledge-sharing and peer support program called AskSamX, which makes use of the...
June 01, 2007
The New RecruiterOne of the toughest jobs in the financial services industry has to be that of the financial advisor recruiter. Typically, the FA recruiter is a...
May 31, 2007
Wachovia Picks Up A. G. EdwardsAnyone who doubted that a big bank could challenge the national wirehouse broker/dealers has to notice that Wachovia's deal to acquire A. G. Edwards catapults...
May 20, 2007
Standards Are Important, But Are They Critical?Ever since insurers started using computers to do business, there has been a debate over the need for data standards, driven by the notion that ...