Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How to Advise Clients Who Want to Sell Coin Collections
By Ed McCarthy, CFP, RICPThe first issue to clarify with the collector’s heirs is whether they’re dealing with an accumulation or a collection.
April 12, 2011
LPL's Dwyer: Annuities Producers Seek Advisors’ Help to Meet Boomer DemandAdvisors, including LPL Financial's Bill Dwyer, talked about annuities with insurance executives at a National Retirement Planning Week meeting on Tuesday.
April 12, 2011
Advisor Group IBDs Roll Out New Marketing FocusThe ads aim to encourage advisors to consider joining FSC Securities Corp, Royal Alliance and SagePoint Financial
April 08, 2011
Case of UBS vs. Morgan Stanley FA Sheds Light on Broker ProtocolPatrick Burns, a California attorney, warns advisors to carefully select the client information they take with them when switching firms, following the case of UBS Financial Services Inc. v Peter N. Junggren, Jr., who recently joined Morgan Stanley Smith Barney and is now subject to a temporary restraining order.
April 07, 2011
Independent Business Model Offers Best Earnings Potential: Fidelity SurveyThe majority of brokers and advisors see the independent model as more attractive today and offering the greatest earnings potential, according to Fidelity Investments’ latest Broker and Advisor Sentiment Index survey.
April 05, 2011
Limra Study Flags Misperception Among Gen X & Y Job SeekersMost generation X and Y job seekers say they are not interested in a financial services sales position. But, paradoxically, they note are interested in work that offers the growth potential and opportunities offered by the industry.
April 05, 2011
Report Foresees Changes for Agents and Brokers in Wake of Dodd-FrankAgents, brokers, advisors and others in the investment industry value chain will have to undergo a "redefining transformation" of their businesses to compete post-Dodd-Frank, according to a new research report
April 05, 2011
Gen X & Y perfect for financial services -- but don't know itLIMRA focus groups and studies have found that Generation X and Y job seekers aren't interested in a financial services career -- even though the industry offers jobs that match their most valued priorities.