Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Disclosure Diversion
By Staff Writerover the years I've observed that disclosure was the direction in which financial services firms diverted the attention of well-meaning, largely clueless regulators who were...
September 01, 2006
Man Versus MachineTechnology is our friend, right? That's what I've always heard anyway. Given a recent experience, I may reserve judgment for a while. Like many of you,...
September 01, 2006
Podcast: Broker/Dealers of the YearThe September issue of Investment Advisor contains coverage of our 2006 Broker/Dealer of the Year winners. In preparing that cover story, Editor-in-Chief Jamie Green and...
September 01, 2006
Next Financial GroupOnly seven years old, NEXT Financial has won broker/dealer of the year honors for the sixth year in a row, and did it in three...
September 01, 2006
On the Workbench at AFS: Online Trading, but Not Yet MobileTerry Thorsen knows all about mom-and-pop shops. As the founder of New York-based Automated Financial Services, which provides front-office software, Thorsen knows first hand how...
September 01, 2006
News & ProductsThe SEC issued a Request for Proposals (RFP) due August 24 for phase one of a major study of how regulators' rules for investment professionals...
September 01, 2006
If I weren't already happily married . . .One of the most telling questions on the annual "Rate Your Broker/Dealer" ballot is the one that inquires "If you were to affiliate with another...
September 01, 2006
Woodbury Financial ServicesWoodbury Financial is a big firm, with nearly 2,000 producing reps, and a big corporate parent in the form of The Hartford. But a simple...