Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The 2014 Broker-Dealers of the Year: The Rules
By Danielle AndrusTo 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 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.
August 21, 2014
Wells Fargo, Raymond James Recruit Teams; LPL Adds 13 RepsPlus, HighTower and NFP add separate retirement plan groups to their operations as partners.
August 14, 2014
Commonwealth Grabs Group From LPL-Affiliated FirmBenjamin W. Wong and Associates joined Commonwealth after their previous firm, Financial Telesis, was bought by an ex-LPL exec.
August 14, 2014
Schorsch's RCAP Buys Girard, Nears 10,000 FAsRCS Capital moves to add Girard Securities to the expanding Cetera Financial Group of IBDs led by Larry Roth.
August 13, 2014
Fed’s Rosengren says brokerage rules need ‘major re-examination’Fed officials have warned the web of repurchase agreements, or repos, remains prone to unravel in a panic.