Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schwab, TD Ameritrade Daily Trades Drop Over 22% in May
By Janet LevauxDiscount brokers see decline in client activity as major stock markets post similar results.
June 10, 2011
Pershing’s NetX360 Stronger Now Thanks to Its Users, Says Suresh KumarThe ‘crowd sourcing’ of 100,000 users translates to an ever-stronger, flexible technology program.
June 07, 2011
Why Personal Financial Planning Can’t Be CommoditizedUnlike some observers, why I believe independent advice will never become like one more barrel of oil.
June 06, 2011
WFP Securities Latest Broker-Dealer to CloseLatest company to shutter in MedCap, Provident case.
June 06, 2011
Fidelity's Durbin Asks: Need Another Reason to Leave Wirehouses? Taxes?Fidelity white paper explores the taxation issues that arise when advisors switch business models from captive wirehouse to independent RIA.
June 02, 2011
Securities America Advisor Hires North Dakota Team From AXATroubled independent broker-dealer Securities America announced that a group of six advisors has joined advisor Diversified Wealth Management LLC.
June 02, 2011
LPL Names David Akellian of Century Securities to Head Custom Clearing UnitVeteran clearing and broker-dealer executive will execute against LPL's strategy to grow its clearing and custody business among insurance, bank and other BDs.
June 01, 2011
2011 Investment Advisor Broker-Dealer Reference GuideTo say it’s a time of flux in the broker-dealer and independent advisory industries doesn’t do it justice.