Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up
By James J. GreenOur AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.
December 10, 2012
LPL Grabs Top Ex-MetLife TeamLegacy Financial moves to independence with about $150 million in client assets in Rochester, N.Y.
December 06, 2012
Crowdfunding Platform ConfidentCrowd Expands Under Title IIUsing Title II of the JOBS Act, ConfidentCrowd will offer smaller businesses the opportunity to participate in larger equity-based financings than available under Title III.
December 05, 2012
RIA Washington Wealth Adds Two Teams, Hits $1B in Recruited AssetsThe independent hybrid RIA is led by ex-wirehouse reps and uses LPL Financial as a broker-dealer.
December 03, 2012
AIG’s Advisor Group Wraps Up Woodbury PurchaseThe combined IBD will have roughly 6,000 advisors with some $125 billion in assets.
December 03, 2012
FSI Adds to Board, ‘Strengthens Focus’ on Small Broker-DealersThe cavalry is coming. Advocacy organization announces three new members to its board and a renewed commitment to small and mid-size broker-dealers.
November 28, 2012
RJ Grabs $800K Ex-Morgan Stanley FA in West VirginiaThe advisor has been in the business since 1978 and has about $215 million in client assets
November 28, 2012
Advisors Giving Back: Commonwealth’s Nelson Ball Does It AllFinancial advisor Nelson Ball has found many ways to support his community and a variety of causes.