Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Aging producer workforce on minds of “State of the Industry” panelists
By Brian AndersonIn an industry filled with seniors, succession planning is more critical than ever.
November 19, 2013
Schorsch Open to Buying More Nonpublic CompaniesBringing diverse operations together via RCAP can be a "confusing" story to tell and sell, real estate billionaire Nicholas Schorsch admits to ThinkAdvisor.
November 18, 2013
Schorsch’s Realty Cap to Buy Summit Financial for $49 MillionWhy buy the 300-advisor IBD? "The reasons are fairly simple," Schorsch told ThinkAdvisor.
November 15, 2013
Baird Adds to Training, Women’s ProgramsThe broker-dealer's advisor force is less than 15% women; it wants to raise that number via special events, recruiting and other steps.
November 15, 2013
Survey flags high percentage of 'break-away advisors'Earning potential is just one of the factors motivating advisors to move on.
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.