Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Investors Capital Matching Advisors' FSI Contributions
By Janet LevauxThe broker-dealer's advisors have just pledged some $25,000 to the advocacy group, with matching contributions from Investors Capital CEO Tim Murphy and advisor Don Ingram.
August 11, 2011
IRA Owners on Brokerage Chopping BlockIndividual retirement account holders may find themselves brokerless if the DOL adopts its proposed fiduciary duty rules.
August 10, 2011
Sponsors Limit Target Date Fund Picks: FRC StudyAlthough an entire series of target date funds may be marketed to retirement plan sponsors, they may decide to choose only a few funds out of the series, according to a new analysis of 401(k) recordkeeper platforms by the Financial Research Corporation
August 08, 2011
LPL Financial Enrolls Its 12,600 Advisors With FSILPL Financial says all its advisors are now members of the Financial Services Institute, an advocacy group for independent broker-dealers and financial advisors.
August 04, 2011
5 Best & Worst Broker-Dealers: Q2 EarningsBrokerage firms in the second quarter boosted earnings growth as high as 470% and reported declines as low as 383% AdvisorOne selected a lucky 10 for scrutiny.
August 02, 2011
Investors Cap Founder, Ted Charles, Sells Stake to AdvisorsCharles retires following the sale of his 55% stake to advisors, clients and home-office staff.
July 29, 2011
Are You a Wirehouse Broker Thinking of Independence? Consider What You OweAttorney Patrick Burns warns brokers to consider their obligations from recruitment or retention packages
July 29, 2011
Ex-LPL Execs Form New Recruiting Firm—FirstPoint PartnersCo-founders Scott Collins and Scott Miller say they already have arrangements with Raymond James, Commonwealth and major custodians.