Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Boosts Q3 Earnings, Loses 37 Reps
By Janet LevauxThe firm says it is upbeat about recruiting, as lower-producing Morgan Keegan advisors depart.
October 23, 2012
6 Overlooked Criteria for Broker-Dealer Due DiligenceIts not surprising that when the majority of registered reps look to change their broker-dealer, they tend to focus on short-term factors and immediate satisfaction.
October 19, 2012
Pandit’s Exit Means End of ‘Shock and Awe’ Era: Bank AnalystThe heyday of volatility at the big banks could be replaced by a "boring" period, says SNL Financial's Nancy Bush.
October 18, 2012
Survey: Is a securities license important to you?What is your opinion on getting a securities license? Do you currently have one and, if you dont, will you be getting one?
October 17, 2012
Prudential Team With $450M Moves to LPLThe group brings with it six advisors and plans to hire another 15 in the near future.
October 16, 2012
Baird Grabs 7 Reps With $970M as Janney Adds New ManagerThe new Baird reps join from Morgan Stanley, Citi and other firms.
October 16, 2012
Raymond James Execs Boast ‘Huge Strides’ in TechnologyThe firm and its advisors are benefiting from the Morgan Keegan acquisition, along with certain policies and investments, tech executive Bella Loykhter Allaire said.
October 15, 2012
Raymond James CEO on Future Deals: If They Make Sense, ‘We Will Do Them’Following the Morgan Keegan deal, though, the firm is focused more on nice acquisitions