Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schorsch’s Realty Cap to Buy Summit Financial for $49 Million
By Janet LevauxWhy buy the 300-advisor IBD? "The reasons are fairly simple," Schorsch told ThinkAdvisor.
November 14, 2013
SEC Names Goodman National Associate Director of BD ExamsThe SEC has named Kevin Goodman national associate director of the broker-dealer examination program in the Office of Compliance Inspections and Examinations.
November 13, 2013
A Commission-Only Crackdown? Really?CFP Board is right to restrict the affiliation of fee-only advisors with BDs and right to require brokers to describe themselves as fee and commission.
November 12, 2013
United Planners on Its Tech: The Glue That Holds It All TogetherOur master philosophy is enter once, use many, Sheila Cuffari-Agasi says when describing the technology employed at United Planners Financial Services.
November 12, 2013
FSI Adds 250 New Members Through Girard SecuritiesThe advocacy organization says its membership renewal rate remains high.
November 11, 2013
Employee Advisors and Their Implications for the FutureThe ongoing trend toward employee advisors seems to be a tremendous positive for the planning profession.
November 08, 2013
8 Overlooked Tips to Bond With, and Retain, ClientsExperts at the 2013 Raymond James Womens Symposium highlight some easy steps to take that can boost your advisory business.
November 08, 2013
UBS Adds Merrill Advisor; NPC Recruits 2 OnlineReps move to National Planning Corp. from Ameriprise and LPL via The Advisor Center, an online clearinghouse.