Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ritholtz: The Parasites of Finance
By Barry RitholtzSome parts of the financial industry "are still hanging on despite overwhelming proof of their lack of purpose or added value," Barry Ritholtz said.
May 12, 2014
SEC’s Gallagher: Fiduciary Debate Biased Against BrokersThe debate is not fair right now because there is much more exam data on brokers than on advisors, SEC Commissioner Daniel Gallagher told ThinkAdvisor.
May 12, 2014
Raymond James Nabs Morgan Stanley Rep; Indie Washington Wealth Adds Merrill FAStephen Besse moves with about $360 million in assets, while Matthew Griffith goes independent with about $75 million.
May 08, 2014
First Allied Taps Kevin Keefe, Former Larry Roth Aide, as PresidentThe RCAP Holdings unit names Kevin Keefe, previously with AIG-owned Advisor Group, as its broker-dealer chief.
May 08, 2014
Dale Brown, FSI’s Wrangler in Chief: The 2014 IA 25 ProfileThis is the eighth year that Dale Brown has been on the IA 25 list.
May 08, 2014
Ladenburg Thalmann Posts Huge Jump in ProfitsSecurities America and its other IBDs post sales of $188 million, announce hiring of additional recruiter.
May 06, 2014
4 Reasons You Make Bad DecisionsAuthor Dan Heath shows four ways decision making breaks down, and four ways to prevent that breakdown, at IMCA conference.
May 05, 2014
Skip Schweiss, TDA’s Advisor Sage: The 2014 IA 25 ProfileSkip Schweiss has worked with advisors for 25 years. He understands their animus toward regulation, but says theres a much bigger threat on the horizon.