Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fiduciary Survey Closes Friday
By James J. GreenLast chance for RIAs, brokers and dually registered advisors to make their voices heard on fiduciary debate at the SEC and the DOL.
March 28, 2013
FSI Names Derek Bruton, Seth Miller to Its BoardThe independent BD association names replacements for Bill Dwyer of LPL and Jim Livingston of National Planning Holdings.
March 27, 2013
Securities America Recruited Production Jumps More Than 300% in ’12This includes the recent addition of two groups with a total of roughly 160 financial advisors.
March 26, 2013
LPL Launches ‘Elite’ Retirement Plan GroupWe are really targeting the top 1%, the most elite retirement advisors, says Executive Vice President Bill Chetney.
March 26, 2013
Cetera’s Barnaby Grist Leaving BD to Care for FamilyBarnaby Grist, EVP of wealth management, preached that health and family come first to his team at Cetera, and now hes putting the belief into practice.
March 26, 2013
New York exchange to offer direct-pay commissionsThe marketplace will offer brokers their own customer service center.
March 26, 2013
5 IBDs That Changed the GameWhat makes these independent broker-dealers important? They break new ground, making IBDs an increasingly viable alternative for advisors.
March 25, 2013
Three-quarters of fee-based advisors use index fundsMore than half of fee-based financial advisors have invested more than 30 percent of clients assets in mutual funds.