Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Locking horns over the fiduciary standard
By Paula Aven GladychThe very meaning of investment advice for retail investors may be fundamentally altered in what promises to be a big regulatory change.
September 05, 2013
Larry Roth Leaves Advisor Group to Run REIT FirmRoth to become CEO of wholesaler arm of Nicholas Schorschs RCS Capital; Peter Harbeck is named interim president of Advisor Group.
September 04, 2013
RIA Growth Inevitable as Brokers Go Indie: S&P Capital IQBrokers move to independence is one of the fastest growing trends in wealth management, and RIAs are poised for more growth, S&P Capital IQ says.
September 04, 2013
Wells Adds 5 Advisors, Nearly $1B in Assets From RivalsIn addition, Securities America adds an advisor with $137 million in assets from Financial Telesis.
September 03, 2013
Genworth, Cetera Close Unit Sales Deals"We are getting back to our roots," says Genworth Financial Wealth Management President and CEO Gurinder Ahluwalia.
September 03, 2013
In a Watershed Year for Fiduciary Standard, Reviewing the ArgumentsAt the start of Fiduciary September, a reminder on whats at stake for advisors and investors. Is it time for a feistier fiduciary standard?
August 30, 2013
E&O Insurance: Cost and Deductibles SkyrocketThe days of $1,500 errors and omissions insurance with a $5,000 deductible are quickly coming to an end.