Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisor-Sold 529 Plans Lose Market Share Even as Assets Grow
By Bernice NapachAdvisor-sold 529 plans account for 46% of all 529 plan assets, but more investors are choosing direct-sold funds with lower fees, according to Morningstar.
May 25, 2016
Ah, the Parallels!Ive been in the journalism business for 33 years now, and Ive seen plenty of changes.
May 25, 2016
Great Expectations Can't Be Met Without LeadershipAs a profession that has evolved substantially out of the brokerage world, financial advisory firms have not always aligned their performance evaluation process with the behavior they seek.
May 25, 2016
What 'The Big Short' Got WrongLast year's movie The Big Short, starring Christian Bale, Brad Pitt, Ryan Gosling and Steve Carell, has renewed interest in the history (and myth) of the 2008 mortgage meltdown.
May 25, 2016
10 Steps to Become a LeaderIn any business with more than a few employees, youve probably come across people who seem to be destined for advancement.
May 25, 2016
The DOL Rule(s): The 2016 Broker-Dealer Presidents PollIBDs' latest regulatory challenge is its biggest business challenge. That's not our editorial judgment it's how the leaders of 58 independent broker-dealers feel.
May 25, 2016
BDs Finding Balance: 2016 Broker-Dealer Reference GuideAs a subsection of the overall brokerage industry, the independent broker-dealer industry is shrinking.
May 25, 2016
Cetera, Freed From RCAP Bankruptcy, Set to Charge AheadWe are recapitalized and have a new board of directors, CEO Larry Roth told ThinkAdvisor. Its fantastic!