Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Toward a Workable Fiduciary Standard for Brokers: The 7 Questions
By Bob ClarkTo tell if brokers are really acting like fiduciaries, ask these seven questions about a client's portfolio to check for possible broker abuses.
May 04, 2015
The 2015 IA 35 for 35 CalendarThroughout May, well publish extended versions of the interviews and profiles that appeared in the May issue of Investment Advisor. We'll update this calendar with links to each article as they are published.
May 04, 2015
Why the IA 35?While Im not a fervent believer in the Great Man theory of history, I do believe that individuals make a big difference in the history of the world, of nations and of families.
May 04, 2015
The 2015 IA 35 for 35These advisor advocates, investors, politicians and thought leaders have stood out over the past 35 years and will influence financial services for decades to come.
May 04, 2015
The Age of Financial Secrecy Is EndingTransparency is here, like it or not. Forward-thinking adaptation that takes advantage of the new reality is the key to survival.
May 04, 2015
Raymond James Adds Complex Managers, FAs From WirehousesIn addition, it taps a marketing veteran to lead its Network for Women Advisors, which has more than 800 FAs.
May 01, 2015
FINRA’s Ketchum Criticizes DOL Fiduciary PlanFINRA CEO says DOL's safe harbor descriptions are "narrow" for BDs and that the CARDS plan is on hold until security concerns are addressed.
May 01, 2015
Cetera Rolls Out First Allied’s Pentameter to Entire NetworkThe platform will assess advisors strengths and weaknesses to facilitate targeted growth strategies at Cetera firms.