Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Top-Performing Firms Have Raised Fees: Tibergien
By James J. GreenIf you can demonstrate value to your clients, says Pershing Advisor Solutions CEO, then you can charge fees for services, not just on AUM.
October 28, 2014
Pershing Ready to Help BDs Recruit New Advisors: CEO DeCiccoPershing CEO kicks off Discover conference by announcing it stands ready to help broker-dealers recruit "younger and more diverse" advisors to meet growing demand.
October 28, 2014
After 13 Years of Invites, Commonwealth Snags LPL AdvisorLance Nelson switches IBDs after getting quarterly postcards from Commonwealth since 2001.
October 27, 2014
RCS Capital Hires DwyerRCS Capital, which has been adding broker-dealers at a frenetic pace, recently made several of shifts to its executive team. The New York-based firm's…
October 27, 2014
Why Partnerships Seem to Work So WellRemember the financial crisis? Remember the wirehouse research scandal? Remember the options-backdating scandal?
October 23, 2014
Snowden Lane Picks Up $270M Merrill DuoThis news follows the boutique firms recruiting of a UBS team in late September.
October 22, 2014
Big Reg Charge Slashes LPL’s Q3 Earnings ForecastOne analyst says LPL's "inability to guide effectively on expenses," particularly regulatory ones, is a "recurring problem."
October 21, 2014
Barely half of new producer hires last 12 months in their new jobs ... and other bad newsIndependent agents/brokers posted a 56 percent success rate in producer hiring in the past five years, although the hiring performance of the top and bottom firms varied widely.