Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Rolls Out Tool for Discretionary Trading
By Janet LevauxThe FolioDynamix technology works in conjunction with the firm's proprietary research and can be used for modeling, rebalancing and trading.
July 29, 2013
LPL Financial Expanding Retirement-Plan PlatformLPL Financial says it has beefed up its retirement planning platform with tools for financial advisors and plan participants from Morningstar Associates,…
July 29, 2013
Risky Business: How to Protect Your Firm From Wire FraudSomeday soon an advisor will have to declare bankruptcy because he cannot cover the losses incurred in a fraudulent third-party wire transfer.
July 29, 2013
Broker-Dealer INVEST Signs Equity BankINVEST currently supports 150 banks and credit unions and 1,100 representatives nationwide.
July 26, 2013
SIFMA Pushes for Higher Muni Trading StandardThe industry group is asking the Municipal Securities Rulemaking Board to follow its suggestions for the good of investors.
July 25, 2013
Ameriprise Lifts Profits 44% on Strong Wealth ResultsFlows of client assets into advisor wrap programs were $3.1 billion in Q2, down from $4.1 billion in Q1.
July 25, 2013
India Relaxes Foreign Investment Cap to Woo GrowthWhile the rupee has been falling and growth has slowed, contributing to a record deficit, India has embarked on a series of measures designed to reverse the negative trend.
July 24, 2013
Raymond James Posts 'Modest Improvement' in Private-Client ResultsFees & commissions for its 6,300 reps are up 2% from last quarter and 8% from last year to $615 million.