Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
What To Look For In A Broker-Dealer Partner
By Staff WriterWhat To Look For InA Broker-Dealer PartnerIn many instances, a financial advisor may want to consider partnering with a broker-dealer to assist with the transition ...
April 06, 2003
NASD Turning Up The Pressure on VA SuitabilityNASD Turning Up The Pressure On VA SuitabilityBy Jeffrey S. Puretz and Nicole GriffinA recent enforcement action shows that the National Association of Securities Dealers ...
April 01, 2003
Lemons From LemonadeGood news! We are now officially in the worst stock market environment in the last 70 years. Most financial advisors are experiencing feelings "somewhere between...
March 31, 2003
MetLife Introduces 401(k) Administration ProgramNU Online News Service, March 31, 2003, 11:16 a.m. EST -- MetLife Inc., New York, has introduced MetSelect, a 401(k) plan administration program for ...
March 23, 2003
The Art Of Giving BackBy Jack Bobo From time to time I receive letters from friends who are former colleagues in the service of various parts of what used ...
March 23, 2003
There Are Several Ways To Get Into Worksite MarketingThere Are Several Ways To Get Into Worksite MarketingByMore and more employee benefit brokers are contacting me about how to get into the worksite marketing ...
February 23, 2003
Wachovia, Prudential To Combine Retail Brokerage OperationsWachovia, Prudential To Combine Retail Brokerage OperationsByIn a deal combining their retail brokerage operations, Prudential Financial Inc. will end up with a 38% ownership stake ...
February 20, 2003
Bank Broker-Dealer Activity IncreasesNU Online News Service, Feb. 20, 10:04 a.m. -- Brokers in banks generated $24,601 in sales in December 2002, up 7.3% from the total ...