Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Recruiting Wars: Freedom and Culture
By James J. GreenWhen independent broker/dealer reps consider joining a new B/D these days, they tell Jonathan Henschen that they "want a firm that will leave me alone--that...
June 01, 2006
News & ProductsAt the Fidelity Executive Forum in late April, Fidelity Brokerage Company's National Financial (NF) clearing firm unit demonstrated a number of new services and products...
June 01, 2006
NEXT Financial's Auld Has Big PlansNEXT Financial Group has doubled its size every two years since 1999 and expects to continue its aggressive growth pattern in the near future. Its...
June 01, 2006
The Best B/DsBalloting for Investment Advisor's 16th annual Broker/Dealers of the Year awards will take place online only at www.investmentadvisor.com from June 1 through July 1. All...
June 01, 2006
Regulating Annuity SalesThe NASD is taking steps to assess oversight of the sales of all types of annuities by the patchwork quilt of regulatory agencies overseeing the...
June 01, 2006
UBS-Piper Jaffray Deal: 'It's a Terrific Deal'UBS is buying Piper Jaffray, which could bring it 800-plus advisors and put it more solidly in fourth place behind Merrill Lynch, Wachovia Securities and...
June 01, 2006
The Advisor ClassResearch: Some advisors still consider T. Rowe Price primarily as a direct shop. Why isn't that the case any more? Cammack: To give you a perspective...