Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Female FAs Tired of Playing Musical Chairs: Ann Hughes
By Jane Wollman RusoffRecruiting existing female advisors is simply a game of musical chairs. Ann Hughes, consultant-with-a-mission, says it's time for a new game.
April 13, 2015
AIG Advisor Group SpeakLoud Campaign Tells Advisors: We’ll Make Your Voice HeardSpeakLoud is the rallying cry of AIG Advisor Group's new multimedia recruitment campaign targeting advisors seeking a new home.
April 13, 2015
Focus Adds Wealth Group in Canada; United Capital Picks Up 2 FirmsEach firm acquires groups of advisors with more than $600 million in client assets.
April 09, 2015
Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2015Overall satisfaction is stagnant across full-service broker-dealers, the survey finds.
April 09, 2015
SEC Chief: Fiduciary, Third-Party Audit Rules to Advance This YearSEC will discuss making rules this year on third-party advisor audits and a uniform fiduciary standard, SEC chief Mary Jo White said.
April 08, 2015
BD Fees Confuse Investors: NASAAInvestors are confused and unaware of how much their brokerage firm charges to serve and maintain their investment accounts, NASAA President William Beatty said.
April 08, 2015
ThinkAdvisor’s 2015 Q1 Earnings Calendar for the Finance SectorA list of upcoming earnings release dates for companies of interest to financial advisors and investors.
April 07, 2015
New Hampshire Hits LPL Over Nontraded REITsNew Hampshire has filed a $3.6 million legal action against the independent broker-dealer.