Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Striking While the Iron Is Hot
By Melanie WaddellAttempting to cement its foothold in the fast growing dually registered advisor market, Fidelity Institutional Wealth Services (IWS) and its correspondent broker/dealer business, National Financial,...
September 01, 2008
The Winner's CircleThe Winner's Circle has proved its mettle as an enduring institution in the financial industry. A program for ranking the best financial advisors, it is...
September 01, 2008
You're the Tops—2008 Broker-Dealers of the YearIn this, the 18th year that Investment Advisor readers have chosen Broker/Dealers of the Year, it's not easy to be any kind of broker/dealer. On...
August 31, 2008
Working to keep electronic media compliantQ: You are a registered representative with a FINRA-registered broker-dealer. You also have your own business, John Smith and Associates. You create a Web site and set up email under that name. Can you do this? You also have your own fixed business
August 29, 2008
John R. DiMondaJohn R. DiMonda managing director for the North Central Ohio Regional Planning Group of Lincoln Financial Advisors Corp. He is currently managing director for the Metro New York/New Jersey Region, and will continue to oversee that region. He has
August 29, 2008
NAIFA Joins Mentoring ProgramThe National Association of Insurance and Financial Advisors says it will take part in the Million Dollar Round Table/GAMA International mentoring program.The mentoring program, started ...
August 25, 2008
Investors Cap Taps Murphy as President/CEO (Aug. 25, 2008)Investors Capital Holdings has announced that Timothy B. Murphy is its new president and chief executive office. He is also head of the firm's independent broker-dealer and investment advisors - Inves
August 20, 2008
Securities Jobs Remain Surprisingly Flat (Aug. 20, 2008)This was a negative, but not as bad as the consensus number of 70,000 and coupled with upward revisions to May and June, some saw a glimmer of recovery in this report, says Jeff Testerman of brokerhun