Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wachovia Securities Rebrands, Becomes Wells Fargo Advisors
By Janet LevauxWachovia Securities is now using the Wells Fargo Advisors name, officially rebranding its business under its new parent, Wells Fargo & Company, the company says. "Today,...
June 01, 2009
When Less Is MoreIt appears that the best broker/dealers limit the number of investment vehicles on their approved list. That's one of the findings of The Art of...
June 01, 2009
B/D News & ProductsThe Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service which would make records of final regulatory actions against brokers...
June 01, 2009
SEC's Walters Backs Harmonizing B/D, Advisor RulesYet another top official at the SEC is championing the idea of harmonizing rules for investment advisors and broker/dealers. In a speech before the Mutual...
June 01, 2009
Coming to an RIA Near YouOne of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. However,...
June 01, 2009
A Drive for Independence: Wirehouse Advisors Look Under the Hoods of Indie FirmsAs Philip Palaveev, president of Fusion Advisor Network, bluntly puts it: "I don't think we've seen such a profound weakening of wirehouse brands before. This...
June 01, 2009
Advisor Advocate: LPL Financial's BrutonWith advisor interest in the independent model at a historic high, Derek Bruton's appointment as national sales manager for the nation's largest independent broker-dealer network...
June 01, 2009
Morgan Stanley Moving Ahead With Smith Barney VentureMorgan Stanley says it is on track to raise some $8 billion via recent equity and debt offerings, including the exercise of the over-allotment option,...