Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Boosts Fees, Commissions 8% in August to $250M
By Janet LevauxThese results are complemented by a 1% jump in assets to $383 billion.
September 19, 2012
Advisors Going Independent: The Issues, the Costs, the PayoffsA Sept. 25 Web seminar featuring Tom Giachetti, Tim Welsh and David Patchen addresses the key issues for any advisor looking to 'break away' from a wirehouse, change broker-dealers or go completely independent as a RIA.
September 18, 2012
LPL Team With $250M Jumps to FSC SecuritiesThe Advisor Group broker-dealer says it attracted the team of Burton and Whittingham thanks to its open culture and IT architecture.
September 17, 2012
LPL Team Jumps to Raymond James, Buys a PracticeThe merged practice, based in Tennessee, should have about $150 million in assets under management.
September 13, 2012
BDs’ Top 5 Biggest Compliance Failures: NASAANASAA has released the results of its coordinated examinations of broker-dealers, identifying BDs top five compliance violations.
September 13, 2012
MarketCounsel Sells MailBanc Messaging Unit to Global RelayThe summit features a "whos who" of leading RIA firms and industry personalities.
September 11, 2012
Pershing Democratizes Managed Accounts With NetX360 Tech UpgradePershing Managed Account Solutions' Steve Dunlap says Pershing's NetX360 technology platform has helped bring managed accounts to the mass market.
September 06, 2012
Palaveev Forms Team-Based Consulting Firm for AdvisorsThe Ensemble Practice will focus on what Philip Palaveev says are the building blocks of the future of the industrysmall ensemble practices looking to build businesses.