Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Web Exclusive: The Annuity IMO Broker-Dealers
By staff WriterLinda Koco reports on how the big fixed indexed annuity marketers are using B-D units to prepare for federal efforts to change FIA regulation.
February 10, 2010
The FA Recruiting Wars Are Far from OverContrary to what some wirehouse executives say, the war for talented financial advisors isn't ending; it's just reconfiguring.
February 10, 2010
Time for a Transition (VI): Becoming an Online Social ButterflyOnline networking and digital communication should supplement - not replace - your traditional means of networking.
February 08, 2010
Lightyear Capital Completes Acquisition of Three ING Broker/DealersPrivate equity firm renames FNIC, Multi-Financial, and PrimeVest as Cetera Financial
February 08, 2010
Advisors Urged to Enter NAAIM Investment Management Contest ASAPPapers on investing must be submitted by March 15; prizes include top award of $10,000.
February 07, 2010
Client Beware? Harold Evensky's Definition of FiduciaryIn his response to my January 8 blog, Jay Martin raises an interesting issue about whether a fiduciary standard can or should be applied to...
February 04, 2010
Barclays Wealth Building Business on Lehman PlatformBarclays Wealth managing director Mitch Cox, head of the firm's global investment & product office, is leading the firm as it moves into the second...
February 03, 2010
BofA Merrill to Add 2,000 FAs as It Deals with Series of LawsuitsMerrill Lynch's 'thundering herd' now stands at about 15,000 advisors, putting it well behind rival Morgan Stanley Smith Barney with 18,135 advisors.