Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
ERISA Fiduciary Fix Offers Broker-Dealers Big Opportunity
By Staff WriterA little known Department of Labor regulation has the potential to expand the reach of investment advice, improve its quality and untap a substantial flow of retirement money in motion.
April 05, 2012
SagePoint Hires Dee Morgan to Head RecruitingMorgan joins the organization as senior vice president of recruiting and will lead a team focused on attracting independent, wirehouse and hybrid advisors to the Phoenix-based firm.
April 04, 2012
Raymond James Taps Former Morgan Keegan CEO to Lead Fixed-Income GroupThe fixed income and capital markets group will be led by John Carson Jr., former CEO of Morgan Keegan.
April 04, 2012
Cetera Completes Genworth Financial AcquisitionCetera Financial Group, the renamed and rebranded broker-dealer group once owned by ING and now owned by the private equity firm Lightyear Capital, announced on Monday that it has completed the acquisition of Genworth Financial Investment Services.
April 04, 2012
Woodbury CEO: ‘Business as Usual’ as Hartford Prepares to Sell BDCEO Patrick McEvoy suggests the increase in average production will make Woodbury a more attractive buy.
April 04, 2012
Barclays Adds 2 Ex-Morgan Stanley Advisors in LAThe boutique firm has added eight advisors to the branchwith $2.7 million in assets and about $32 million in trailing-12-month productionin the last six months.
April 03, 2012
DOL’s Secret Fiduciary Fix Offers BDs Big OpportunityA little-known DOL exemption for computer modeling confers a marketing advantage for IRA rollovers, says Lou Harvey of market research firm Dalbar.
April 03, 2012
Women Investors’ 4 Key Stages Are Focus of LPL Marketing PlatformPractice management and marketing tools revolve around life stages where advisors are often a resource, says Marissa Fox-Foley of LPL, and represent an incredible opportunity.