Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Crisis Coaching
By Ellen UzelacNearly a year into the current economic crisis, many in the advisory profession continue to grapple with plunging incomes, unsettled clients and poor credibility. Worse yet,...
July 29, 2009
Measuring Full-Service Firms, AdvisorsThe latest J.D. Power and Associates study finds that investors are citing satisfaction with their advisor as the top factor in their overall investment experience.
July 29, 2009
The Value of a RecruiterDuring these tempestuous times, good recruiters are critical guides when it comes to explaining the pros and cons of different types of firms.
July 29, 2009
Fidelity to Offer Its Clients Access to Deutsche Bank IPOsA new deal means Fidelity's retail and institutional brokerage clients will have the ability to buy initial public offerings and follow-on equity offerings underwritten by Deutsche Bank.
July 29, 2009
SEC Ordered to Reconsider Annuity RuleFinding on July 21 that the SEC had "failed to properly consider the effect of the rule upon efficiency, competition and capital formation," the Court of Appeals for the District of Columbia told the SEC to reconsider Rule 151A.
July 28, 2009
Morgan Stanley Smith Barney, Nationwide Launch Select Retirement UMA ProgramMorgan Stanley Smith Barney has introduced Select Retirement, an optional income protection feature that is specially designed to augment the Select UMA unified managed account...
July 27, 2009
Citigroup Makes Further Changes To Its Board of DirectorsCitigroup's board of directors now includes three new outside directors, a new non-executive chair for Citibank, N.A., a new oversight committee for Citi Holdings and...
July 22, 2009
Wells Fargo-Wachovia Shares Joint Results; Says FA Inflows, Sales, Recruiting 'Strong'The combined firm notes that it continues to experience robust broker recruiting - and says financial advisors hired this year are 60 percent more productive than those who have left the firm.