Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Mariner Holdings Acquires Flyover Capital
By Emily ZulzMariner's newest acquisition, Flyover Capital, will provide access to investment opportunities in early-stage technology companies in the Midwest.
September 08, 2014
RCAP’s Crowdfunding Site: A Smart Move?Chairman Nicholas Schorsch says the crowdfunding site should bring RCS Capital advisors more business. Industry experts like Mark Elzweig are optimistic.
September 05, 2014
Morgan Stanley, Raymond James Add $1M-Plus Reps, TeamBaird hires a branch manager from Wells Fargo in Philadelphia.
September 05, 2014
2014 Broker-Dealers of the Year—Scenario 3: SEC Imposes Fiduciary Standard on RepsHow would top BDs handle this scenario? "In many ways," says Eric Schwartz of Cambridge, "we're in a fiduciary world already."
September 04, 2014
FSI Adds New Advisor Members From 2 FirmsComplimentary memberships and similar initiatives have helped boost FSI memberships, which have doubled since 2011.
September 03, 2014
What insurance agents can learn from Derek JeterIn sports and in insurance, we look up to people that do great things.
September 02, 2014
Fiduciary Advisors Are in Peril: How to Fight BackTo combat the Wall Street-Washington lobbying campaign, fiduciary advisors must state in the clearest possible terms what fiduciary advice means for investors.
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.