Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Tech Talk: Commonwealth, Raymond James Roll Out New Software Tools for Reps
By Janet LevauxThe new programs focus on daily trading operations as well as financial planning, the firms say.
August 23, 2012
One Group’s StoryMoving from the brokerage world to independent status is a major decision that shouldnt be rushed.
August 23, 2012
Calculating the TabWhat does it cost to get the door open as an independent advisor?
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.