Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Makes Leadership Transition: Reilly Becomes CEO; James Remains Chairman
By Janet LevauxRaymond James Financial hosted its National Conference for Professional Development April 26-29 in Nashville, Tenn., just before Paul Reilly moved into the CEO slot. Reilly became...
April 30, 2010
Feedback: Improve sales with honest criticismSome of life's most important lessons come from truthful feedback on your performance.
April 29, 2010
Five Lessons on Using Phones and E-Mail from the Emily Post InstituteAccording to Peter Post, director of the Emily Post Institute and author of five etiquette books, "When using cell phones and e-mail, be sure you don't put confidential information out there for the public to see."
April 29, 2010
Stifel Shares Q1 Growth Report on Heels of Merger NewsStifel's wealth-management operations are poised to include 1,900 financial advisors and $100 billion in assets under management after its merger with Thomas Weisel Partners is completed.
April 29, 2010
Variable Products Move Onto SEC's RadarSEC, FINRA to release updated report on effective VA practices
April 29, 2010
Alternative Investment Firm Hatteras Names Brian Jacobs CEOHatteras Funds, an asset management firm that specializes in making alternative investing strategies available in mutual fund formats to advisors, named Brian Jacobs as CEO on Wednesday, April 28.
April 29, 2010
Rydex/SGI Will Close Most Leveraged and Reverse ETFsRydex/SGI announced on April 23 that it would close 12 of its 14 leveraged and inverse ETFs, effective May 21.
April 29, 2010
Stifel Net Income Leaps, Shares Rise on Heels of Merger NewsStifel's wealth-management operations are poised to include 1,900 financial advisors and $100 billion in assets under management after its merger with Thomas Weisel Partners is completed.