Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Broker-Dealers: Is Smaller Better?
By John SullivanOnce-sleepy regional broker-dealers are suddenly attractive to advisors and asset managers.
June 12, 2012
S&P Capital IQ Launches Subadvisory Unit to Aid Indie AdvisorsS&P Capital IQ is getting into the subadvisory business in a big way, targeting independent advisors who seek help in building model portfolios.
June 11, 2012
A Guru, a President and Pershing Execs Talk Tech and Leadership: Insite RecapA look at the highlights of the Pershing Insite 2012 conference, focusing on leadership and strategy, from Bill Clinton to Pershing CEO Brian Shea, from leadership guru Deepak Chopra to advisor guru Mark Tibergien.
June 08, 2012
At Pershing Insite, a Plea for BDs to Scrutinize Reps’ Outside DealingsJoan Schwartz of Pershing warns BD executives to better scrutinize such dealings, since this is how bad reps are stealing clients money.
June 08, 2012
Pershing Co-CIO Announces 3 Big Technology InitiativesLucille Mayer steps into Suresh Kumars shoes and touts NetX360 for end clients, next-gen managed accounts and complete business solutions.
June 07, 2012
Commonwealth Adds Three Kansas Firms to Fold With $375 M in AssetsCommonwealth Financial Network announced Tuesday that it has added three independent financial services firms located in Overland Park, Kan.
June 05, 2012
LPL Names Strategy Chief Dan Arnold to Succeed Moore as CFODan Arnold, former head of Uvest, will take over from Robert Moore, now president and COO of the largest independent BD.
June 01, 2012
Combatants Gear Up for SRO HearingTheir collective rallying cry: an SRO isnt neededparticularly if that SRO is FINRA. What to do instead? Fund the SEC so that it can conduct more frequent advisor exams.