Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Investment Advisor’s 2012 Broker-Dealers of the Year—David Pintaric: Video
By John SullivanEditor-in-Chief John Sullivan talks to the president of WRP Investments Inc. and Division II winner of the 2012 Broker-Dealers of the Year about running a family firm and transitioning firms from one generation to the next.
August 23, 2012
Advisor Group to Acquire WoodburyAdvisor Group, part of the SunAmerica Financial Group, said in late July that it planned to buy Woodbury Financial Services from The Hartford.
August 23, 2012
Clearing's New SpaceIn these challenging timeslethargic economy, record-low interest rates, high market volatility, softer trading volumes and a regulatory overhaulthe top firm in the clearing space has decided to totally transform its business model.
August 23, 2012
The Tab for IndependenceCan advisors across the spectrum afford to go independent, no matter their asset level? Opinion is mixed.
August 23, 2012
Before Leaping to Independence, Look at Your MotivationIf you want to join the RIA ranks, first make a candid assessment of your reasons for doing so.
August 23, 2012
Avoiding Breakaway Protocol MisstepsA team of Merrill Lynch advisors who left for Morgan Stanley in April were caught trying to remove boxes containing confidential customer information, becoming a cautionary tale for brokers tempted to break protocol.
August 23, 2012
Three Advisors, Three StoriesWhen Louis Berger and his partner founded their RIA, Washington Square Capital Management, in New York City in 2009, they had to adjust their mindset.
August 23, 2012
Q2 ’12 Wealth Profits Top Year-Ago ResultsBank of America-Merrill Lynch reported profits of $2.5 billion for second-quarter 2012, or 19 cents a share, beating analysts estimates of 14 cents.