Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Broker satisfaction declines; Compensation No. 1 driver to switch firms
By Staff WriterWhile generally satisfied with their careers, broker satisfaction at independent broker/dealers and wirehouses declined in 2008, according to National Financial's 4th Annual Broker and Advisors...
February 01, 2009
Bob McCann Bids Merrill AdieuRobert McCann has left his post as head of Merrill Lynch's wealth-management division now that its merger with Bank of America has been completed. McCann, 50,...
February 01, 2009
A Model for SuccessThree principals of CEG Worldwide, John J. Bowen Jr., Patricia J. Abram and Jonathan Powell, present the key strategies top advisors rely on to succeed...
February 01, 2009
The Right StaffThough Rex C. Whiteside has forsaken a fancy sushi palace for a less pricey Japanese spot when buying his staff lunch, and has cut a...
February 01, 2009
Who's Investing Where?"Nearly half of U.S. households own equities or bonds, a significant increase during the last two decades, however, ownership of these investment assets has declined...
February 01, 2009
B/D Briefs News & ProductsMaking a final determination on a long anticipated decision on whether equity indexed annuities (EIAs) are insurance products or securities, the SEC voted December 17...
February 01, 2009
Catching Up With...In these troubled times, independent broker/dealers have a unique set of issues. With margins thin to begin with and their reps hurting from the market's...
February 01, 2009
Moving and ShakingWhen Bob Dineen joined Lincoln Financial Network six years ago, the organization was losing huge money -- up to $70 million a year. Not only...