Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Going Mobile: LPL Announces Sweeping Tech Changes
By Gil WeinreichNew tech guru Victor Fetter is poised to give the largest independent broker-dealer a technological edge.
August 16, 2013
Ron Carson’s Latest Gambit: Digital Coaching PlatformDigital Fortress, a partnership with Faulkner Publishing, will provide advisors a virtual coaching and marketing platform, including compliance-approved content.
August 16, 2013
How do you delight your customers?The what and how of outstanding customer service is based on four basic principles.
August 15, 2013
LPL Adds $360M Team in OklahomaShaw Financial Services moves to the independent broker-dealer from Lincoln Financial.
August 15, 2013
Raymond James Appoints Exec to New Private Client RoleDavid Patchen, a regional director, will head up advisor education and practice managment initiatives.
August 14, 2013
LPL Financial Focus13 Conference to Unveil New Mobile AppsIT industry veteran and LPL CIO Victor Fetter is busy tweeting about the giant IBD's tech developments and launches planned for Focus13.
August 14, 2013
Edward Jones ‘Not Altering Direction of Ship’ With Proprietary Fund, Says ExecStill, the broker-dealer's move into the world of proprietary products is causing some experts to scratch their heads.
August 14, 2013
Fiduciary Fate of Millions of Retirement Accounts Soon to Be DecidedING court case heading for trial and impending DOL rule define duties of asset managers and advisors.