Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James CEO: ‘Our Focus Is Not on Acquisitions’
By Janet LevauxThe broker-dealer's conservative approach extends to the growing RIA channel as well, Paul Reilly says at women's symposium.
October 17, 2013
Schwab Adds 16 ETFs to Commission-Free PlatformAbout half of RIAs' flows into ETFs are now being directed onto the brokerage firm's OneSource platform.
October 17, 2013
Goldman’s Q3 Sales Fall 20%, Profits FlatRevenue at the investment bank fell 44% amid companywide cost cuts of 25%.
October 16, 2013
BofA Posts Big Jump in Profits; Piper Jaffray Results WeakenAdvisor productivity hits $1.3 million for veteran reps at Merrill Lynch.
October 16, 2013
NFL, Concussions and Brokers: The Dangers of DenialExploring the parallels between the brokerage world and the NFL's denials on the dangers of concussions.
October 15, 2013
Schwab Q3 Results Surprise Analysts; Citi Fails to Hit EstimatesNet new assets for Schwab were nearly $43 billion, a big jump, according to CEO Bettinger.
October 14, 2013
Holding Onto Clients: Start by ListeningA basic level of trust is necessary for a client to hire an advisor, but a deeper level is needed to retain that client.
October 10, 2013
PCAOB Toughens BD Audit StandardsThe Public Company Accounting Oversight Board adopted on Thursday several new audit requirements for broker-dealers.