Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FSI Advisors Weigh In on Presidential Race, Economy & More
By Dale BrownFinancial advisors in an FSI member poll show a decided preference for Romney, predict a flat economy and suggest a continued move toward fees.
August 15, 2012
4 Things to Do Before the CallThese tips will help you make the most of your next sales call.
August 14, 2012
Berthel Fisher Adds 26 Reps From Defunct Milkie FergusonThe broker-dealer plans to make more purchases and step up recruiting, CEO Thomas Berthel said.
August 14, 2012
Consultative Approach to Selling Voluntary Employee BenefitsVoluntary premiums are growing as much as 10 times faster than employer-paid premiums, according to a 2011 report by McKinsey & Company.
August 13, 2012
Raymond James, Wells Fargo Grab Morgan Stanley TeamsWells FiNet also adds a team from Citizens Bank, as MSSB sees an IT exec depart, as well.
August 10, 2012
How to overcome 19 straight "nos"Rejection exists in every profession. What matters is how you respond to it.
August 09, 2012
FINRA Launches Conflict-of-Interest Sweep of BDsFINRA says the sweep is just a way to better understand BDs' practices, but lawyers with BD clients suggest enforcement actions may be brewing.
August 08, 2012
DTCC: $79 Billion Annuity Transactions Processed in First Half of 2012The Depository Trust & Clearing Corporation processed almost 24 million annuity transactions totaling nearly $79 billion in the first half of 2012, the company reported today.