Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Flummoxed By Financial Forms
By Linda KocoThe greening of America notwithstanding, some baby boomers are almost drowning in a sea of financial forms, insurance and otherwise.
May 01, 2009
Pershing Service for RIAs at B/DsResponding to the growth of dually registered representatives, Pershing LLC introduced April 16 a new service for its affiliated broker/dealer firms called RIA Complete, which...
May 01, 2009
LPL Financial Makes Push for 'ClientsFirst'LPL Financial, the independent broker-dealer serving some 11,890 independent advisors, has launched a program called ClientsFirst to help FAs attract, convert and retain new clients....
May 01, 2009
Stifel Nicolaus Buys Part of UBSSt. Louis-based Stifel, Nicolaus & company says it has reached a deal with UBS Financial Services to acquire up to 55 branches and 320 financial...
May 01, 2009
Group Think? The Financial Planning Association (FPA) is currently accepting nominations for its 2010 Board of Directors through July 16, 2009. Members of the FPA's 2009...
May 01, 2009
Broker/Dealer Briefing: John Simmers of INGJohn Simmers, who in his 30-year career helped consolidate ING's roster of broker/dealers into the four B/Ds that comprise the ING Advisors Network, has retired from the...
May 01, 2009
Commonwealth Shares Growth Strategies(San Diego) Commonwealth Financial Network highlighted both practical and emotional ways financial advisors can grow their business during the turmoil of 2009 at its recent...
May 01, 2009
Getting to Know YouYou're acquainted with "The Money Honey" on TV. Now meet "The Money Lady," CFP. That's what clients' kids duly dubbed financial advisor Amber Seale, 34, because...