Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Tony Davidow, ‘Equal Weight Evangelist,’ Brings His Message to Schwab
By Joyce HansonShortly after hiring Tony Davidow as its alternative beta and asset allocation strategist, Schwab filed regulatory papers for a lineup of ETFs that will use fundamental indexes.
May 23, 2013
Is it time to dump “fiduciary”?When the Director of Investor Protection for the Consumer Federation of America says investors dont respond to fiduciary, whats the alternative?
May 22, 2013
Baird Expands Recruiting of Trainees, AdvisorsThe employee-owned, Milwaukee-based firm tops $100 billion in client assets as it aims for $1 billion in revenue.
May 22, 2013
Is Your Broker-Dealer a Screaming Eagle or a Box Wine?Whether youre a high-end wine or a high-end broker-dealer with a cult following, its all about the experience.
May 21, 2013
FINRA Fines LPL $9M for Failing to Monitor EmailsFINRA announced Tuesday that it fined LPL for 35 separate, significant email system failures, and for making material misstatements to FINRA during its investigation.
May 20, 2013
Cambridge CEO Schwartz: What His Firm, Other Advisors Must Do to Stay SuccessfulDespite the scenic Colorado view, the meeting began on a somber note as CEO Eric Schwartz eulogized marketing and recruiting head Jim Guy, who died April 5.
May 20, 2013
Janney Nabs Morgan Stanley Team in DelawareThe advisors join with about $195 million in assets and $1.5 million in yearly fees and commissions.
May 17, 2013
SCF Lures Walnut Street Team of 4 AdvisorsThe move puts the Fresno-based independent broker-dealer at more than $1 billion in affilated client assets and 140 advisors.