Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
ING U.S. to Rename Itself Voya Financial as IPO Progresses
By James J. GreenThe rebranding is designed to highlight INGs U.S. operations as Americas retirement company; ING Financial Partners BD will be renamed as well.
April 09, 2013
Recruiting Roundup: Baird Grabs Wells FAs, UBS Branch Manager; Royal Adds 2 Indie GroupsThe new Baird group has about $770 million in client assets, and the new Royal Alliance-affiliated reps have more than $400 million.
April 09, 2013
Going Indie? Afraid of Losing Clients? Don’t BeDespite fears they might lose clients when going independent, 79% of advisors who switched to the indie model in the last two years say most clients stuck by their side, Schwab Advisor Services reported Tuesday.
April 09, 2013
FINRA’s Ketchum: Complex Products Still Need ‘Heightened Supervision’During the SEC's National Compliance Outreach Program for Broker-Dealers, Ketchum pointed to three areas that FINRA was focusing on.
April 09, 2013
LPL Names Russell’s Parker to Lead Investment and Planning SolutionsParker will be based in San Diego and report to Robert Moore, the firms president of advisor and institution solutions.
April 05, 2013
Cetera Buying Fellow IBDs Tower Square, Walnut Street From MetLifeWith the addition of 800-plus MetLife independent reps, the Cetera BD network will comprise 7,000 advisors managing $130 billion in assets.
April 05, 2013
Thornburg, fi360 Team Up for Fiduciary Training SymposiumThornburg's symposium featured the fi360 AIF capstone course and exam. What are your thoughts on fiduciary responsibility? Please take the AdvisorOne-fi360 Fiduciary Survey, which closes today.
April 03, 2013
Top 10 Fund Brands: RIA, IBD, Wirehouse Advisors’ FavoritesWhen it comes to naming names, advisors predictably pick all the big fund firms as their favorites. But look at Phoenix's survey more closely, and fascinating patterns are revealed.