Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Focus Financial Signs $550M Credit Deal
By Janet LevauxThe advisor rollup firm plans to use the funds to expand via more M&As this year.
January 02, 2014
Advisor M&As to Make Comeback in ’14: TiburonWhile deals in the RIA space slowed dramatically in 2013, many factors are driving a turnaround this year.
January 01, 2014
Envestnet’s Strategy Opens Window Into Future of Independent AdviceA discussion with Bill Crager and Stuart DePina of Envestnet shows where independent advisors are going and who their partners will be.
December 27, 2013
FINRA Floats System to Automatically Flag Problems With Broker Sales PracticesRegulator seeks comments on proposed CARDS system that would gather data from firms and send to FINRA before conducting onsite exams.
December 23, 2013
Why Reps Stay; Why Reps LeaveIn the latest of a series of reports on what the world will look like in the future for advisors and the companies with which they partner, Pershing released in early December Broker-Dealer of the Future II, in which it delineates six stunning transformations that it says BDs must experience...
December 23, 2013
Claiming Social Security at 70 Can Cost You: T. Rowe StudyFor all of Social Securitys solvency problems, Americans, who are notorious for claiming benefits early and therefore leaving lots of money on the table, are doing their part to sustain the program.
December 23, 2013
The Waiter Test: Recruiting Tips from Commonwealth's BloomMany broker-dealers speak about the importance of their corporate culture and how careful they are to make sure theres a good fit when they are recruiting new advisors.
December 23, 2013
Is the Grass Really Greener?Recruiters like myself often get questions from broker-dealer reps considering a move that begin, Is it normal that my broker-dealer?