Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Top 5 broker concerns
By Kathryn MayerAflacs Workforces Report for Brokers confirms what many in the industry have been hearing all along: It hasnt been an easy road for brokers.
July 08, 2014
Securities America to Add 60 Reps, $950M in AssetsCEO Nagengast says the firm is eager to strike more deals with smaller broker-dealers.
July 07, 2014
LPL, Former Exec to Launch Retirement GroupFormer LPL retirement head Bill Chetney's new firm will work with LPLs hybrid RIA platform to boost the IBDs retirement plan business.
July 02, 2014
Half of brokers still mulling industry exitLeaving the industry is on the minds of brokers nationwide, though employers say they need them more than ever.
July 01, 2014
Baird Wraps Up Major AcquisitionWith the purchase of McAdams Wright Ragen, the privately owned firm now has more than 800 reps in more than 80 branches.
June 30, 2014
At Triad, Being RIA Friendly Is Old HatMany broker-dealers have moved over the past few years to accommodate their fee-based reps by adding a custodial platform so those reps can run their own RIAs.
June 30, 2014
LPL’s Largest Hybrid Is on a Wild Growth TearIndependent Financial Partners CEO Bill Hamm explains how the firm increased AUM from $3.3 billion to $5.2 billion in a year.
June 30, 2014
Best Investment Firms Ranked by Advisors: J.D. Power 2014 Satisfaction StudyOverall, advisors are comfortable with their firms, but many are unhappy about their latest pay packages, according to the J.D. Power Financial Advisor Satisfaction Study.