Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FSI Adds New Advisor Members From 2 Firms
By Emily ZulzComplimentary memberships and similar initiatives have helped boost FSI memberships, which have doubled since 2011.
August 28, 2014
Schwab-Morgan Broker Battle Is ‘Tricky’: ExpertFINRA has wrapped up its ruling, but arguments over who owns client information when advisors switch firms continue.
August 27, 2014
The 2014 Broker-Dealers of the Year: The RulesTo be eligible, a broker-dealer had to be nominated by at least 10% of the producing reps reported in the 2014 Broker-Dealer Reference Guide.
August 27, 2014
Wells Fargo, U.S. Trust, Raymond James Add Teams From RivalsPlus, a wealth group of five advisors affilates with LPL Financial in Wisconsin.
August 25, 2014
Advocates: The 2014 Broker-Dealers of the YearThe 2014 Broker-Dealers of the Year are unabashed proponents of the independent BD model and, yes, their own firms.
August 25, 2014
2014 Broker-Dealers of the Year—Scenario 1: Must BDs Acquire to Grow?In an age of consolidation, what questions do independent broker-dealer leaders ask when a competitor comes up for sale? And do IBDs really need to acquire to grow their firms? Is there another way?
August 25, 2014
2014 Broker-Dealers of the Year—Scenario 2: Keeping Your Top ProducersHow do broker-dealer leaders respond when a top producer asks for a product that the compliance deparment doesnt like?
August 25, 2014
Announcing the 2014 Investment Advisor Broker-Dealers of the YearIn 24th annual voting by their own independent BD reps, Prospera Financial, Questar Capital, The Investment Center and Cambridge Investment Research lead the pack.