Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Creating a Future-Ready Natural Gas Industry Now
By Lawrence T BorgardMy top priority for this year as chairman of the American Gas Association (AGA) is ensuring that our customers, regulators and elected officials are confident in our ability to safely deliver our product.
April 24, 2012
The 2012 IA 25Some people ride a wave and some people, like the honorees of the 10th annual IA 25, create a wave.
April 24, 2012
Giving to Get?In a bid to push the deadlocked fiduciary rulemaking process forward, advisory and consumer trade groups that support broadening the fiduciary role for all advice givers made an unusual move in late March.
April 24, 2012
Paychecks and BalancesYou know a trend is well on the way to becoming business as usual when independent broker-dealers start jumping on the bandwagon.
April 24, 2012
Wells Fargo, RBC Grab 12 Morgan Stanley AdvisorsThe advisors expect to move more than $865 million in assets and $6 million in production and were recruited along with reps from Merrill Lynch, UBS and other broker-dealers.
April 24, 2012
How to Make Your Voice Heard With Regulators in Your Own BackyardA good way to engage regulators and make a difference is by participating in FINRA District Committees, as FSI member Wilson WIlliams is doing.
April 24, 2012
2012 IA 25; Investing in Russia; Tech and ROI: May Investment Advisor—SlideshowMay brings the 10th annual IA 25 (well, ninth if you dont count our special 30th anniversary edition, Thirty for Thirty, in 2010), Investment Advisors editors pick of the 25 most influential people in the industry.
April 23, 2012
Ameriprise Posts Mixed Results, Raises Advisor HeadcountThe number of Ameriprise Financial advisors rose slightly to 9,744, and assets under management were $334 billion as of March 31.