Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Shares Results, Plans
By Janet LevauxLPL Financial said its fourth-quarter earnings declined to $36.9 million, or $0.34 a share, from $39.5 million, or $0.35 a share, a year earlier.
February 19, 2013
A Battle Won Over Independent Contractor Status, but War PersistsIn the continuing struggle to retain independent contractor status for IBD advisors on both the state and federal level, broker-dealers have a key ally in FSI. The Waddell & Reed lawsuit is a case in point.
February 15, 2013
Barclays, Morgan Stanley, Raymond James Grab Reps From RivalsThe movement involves advisors with more than $15.6 billion in client assets under management and $36 million in yearly fees & commissions.
February 14, 2013
Goldman’s Blankfein for Treasury Secretary?CEO Lloyd Blankfein hinted he might like the job, just not anytime soon, in a wide-ranging interview with Bloomberg TV.
February 14, 2013
Securities America Names Assistant of the YearThe independent broker-dealer picks Robin Claypool of L&M Financial Rochester, N.Y.
February 12, 2013
It's time to step up your gameAs carriers expand their product portfolios, brokers must be ready to identify and offer best-of-breed products and solutions.
February 12, 2013
It's time to step up your gameAs carriers expand their product portfolios, brokers must be ready to identify and offer best-of-breed products and solutions.
February 11, 2013
Like it or not, the fiduciary standard is comingAnd in the long run, it will be good for the industry, argues Steve Lewit.