Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA BrokerCheck Ad Campaign Supported by Huge Fine Volume
By Melanie WaddellFINRA's $3.5 million campaign compares hiring a broker without checking BrokerCheck to other "leap-before-you-look" mistakes.
May 29, 2015
4 ways to dazzle bigger employer groupsAll that change may give brighter brokers a chance to shine.
May 29, 2015
FINRA Floats ‘Watered Down’ BrokerCheck, Broker Bonus RulesThe new broker bonus plan runs counter to the current industry debate over a common fiduciary standard, which brokerage firms largely favor, lawyer Patrick Burns says.
May 28, 2015
LPL Shares Info on Reps Recruited in Q1The IBD lags rivals in terms of average assets per financial advisor but says its "technology, solutions, service and resources" set it apart.
May 28, 2015
Talk of FINRA as Advisor SRO Rears Its Head AgainA Republican on the House Financial Services Committee said at FINRA's annual conference that he would "explore" legislation to give FINRA advisor exam authority.
May 28, 2015
How Super OSJs Bring Innovation to Broker-DealersWhile broker-dealer management is distracted by heavy-handed regulation, BD producer groups (aka super OSJs) are providing multiple new benefits to reps.
May 27, 2015
Mark Tibergien: Wisdom, Candor and Leadership—The 2015 IA 35 for 35The leader of Pershing Advisor Solutions uses humor and wit to encourage advisors to do the right thing.
May 27, 2015
What Firms Claim About Their Brokers’ Fiduciary Duty (and Lack Thereof)Broker-dealers publicly market themselves as putting their clients first. But when it comes to arbitration cases, they sing a different tune.