Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Plans New Venue for Growing Women’s Symposium
By Janet LevauxThe group had more than 500 guests at its event in Florida last week, including 23 prospective advisors.
October 05, 2015
7 Ways Advisors Can Add Clients, Stay RelevantOn a Morningstar panel, all the experts agreed that a solid value proposition is key to retaining and growing an advisor's client base.
October 02, 2015
A fiduciary critic, representing whose interest?: Barry RitholtzFormer SEC Chairman Arthur Levitt has called the lack of congressional support for the rule a national disgrace.
October 02, 2015
These Female Clients Love Their Financial Advisors—Here’s WhyFor insight on how to best serve female clients, the Raymond James Womens Symposium turned to clients themselves.
October 01, 2015
Why SEC Is Cracking Down on 12b-1 Fees and ‘Distribution-in-Guise’Once again, the SEC provides "guidance" to advisors in the form of an enforcement action, this time a $40 million judgment against First Eagle.
October 01, 2015
Employee Channel Adding Biggest Teams Ever: Raymond James ExecBroker-dealer says recruiting on West Coast and Northeast now account for about one-third of recruited reps.
September 30, 2015
Recruiting Roundup: $3 Billion Merrill Team Goes IndieThe advisors form Corient Capital and partner with Dynasty Financial Partners in Southern California.
September 30, 2015
How do you survive open enrollment season?Looking for some ideas on how to survive the next few months? Here are a few tips from your peers.