Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
BNY Mellon Boosts Profits 23%: Q4 Earnings
By Janet LevauxClearing fees at Pershing unit rise to $294 million in the period and nearly $1.2 billion for 2012
January 15, 2013
Advisors May Still Lose Right to Earn Commissions on IRA AdviceThe Department of Labor will likely issue a reworked version of its fiduciary proposal in late Q1 or early Q2, and concerns about its potential impact remain very real.
January 15, 2013
FSI Adds 500 New MembersCetera Financial Services, run by Valerie Brown, and IEP Financial announced that 500 of their affiliated financial advisors are now new FSI members.
January 11, 2013
How to Add the Right People to Your Team, Pt. 2—The Interview and BeyondYou've identified some good candidates for a well-described job at your firm; here's how to make the interview process work and the crucial follow-up after you hire.
January 10, 2013
Four More Years? Fiduciary Proponents Need to RegroupTo prevent four more years of fiduciary gridlock in Washington, proponents of the fiduciary standard for all need to regroup. Proposed: four steps to change the discussion.
January 09, 2013
Securities America Adds 30 Eagle One Advisors in Second Small BD Deal in a MonthEagle One intends to wind down operations, and most of its advisors have moved to Securities America.
January 09, 2013
Northwestern Mutual to Hire 5,500 This YearThis goal comes on the heels of the life insurance firms 2012 recruiting of 5,000 financial professionals.
January 07, 2013
Raymond James Recruits Wells Fargo Mother-Daughter TeamA Baltimore-based CFP team with $200 million in AUM and $2 million in annual production has jumped ship from Wells Fargo to join Raymond James IBD channel.