Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC’s Gallagher: Fiduciary Debate Biased Against Brokers
By Melanie WaddellThe debate is not fair right now because there is much more exam data on brokers than on advisors, SEC Commissioner Daniel Gallagher told ThinkAdvisor.
May 08, 2014
Dale Brown, FSI’s Wrangler in Chief: The 2014 IA 25 ProfileThis is the eighth year that Dale Brown has been on the IA 25 list.
May 08, 2014
Ladenburg Thalmann Posts Huge Jump in ProfitsSecurities America and its other IBDs post sales of $188 million, announce hiring of additional recruiter.
May 06, 2014
4 Reasons You Make Bad DecisionsAuthor Dan Heath shows four ways decision making breaks down, and four ways to prevent that breakdown, at IMCA conference.
May 05, 2014
Skip Schweiss, TDA’s Advisor Sage: The 2014 IA 25 ProfileSkip Schweiss has worked with advisors for 25 years. He understands their animus toward regulation, but says theres a much bigger threat on the horizon.
May 05, 2014
IA 25 2014: The Regulators and Advocates—SlideshowWhos more influential than the people crafting the laws advisors and brokers have to work by?
May 01, 2014
Raymond James IBD Loses Compliance ChiefRaymond James Financial Services CCO Donald Runkle has left the firm. No replacement has been found.
April 30, 2014
Raymond James Nabs $80M Wells Team in CaliforniaTwo advisors join the employee channel in Santa Barbara with some $950,000 in yearly fees and commissions.