Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
ING Lowers Ticket Charges fof FAs (Sept. 15, 2008)
By Janet LevauxThe independent broker-dealers of ING have announced they are lowering fees on trades for their financial representatives and advisors on an array of transactions with the aim of making the cost advis
September 11, 2008
Securian Seeks To Buy Md. Investment FirmSecurian Financial Group Inc. says it plans to acquire investment firm Capital Financial Group Inc. and CFG's broker-dealer affiliate.Securian, a unit of Minnesota Mutual Insurance ...
September 08, 2008
Hartford Courts Sales AssistantsAn insurance giant is trying to win over variable products sellers by doing more to woo the staffers who help them make their sales.Hartford Financial ...
September 01, 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
September 01, 2008
About the ManagerJim Moffett, lead manager of the UMB Scout International Fund and the UMB Scout International Discovery Fund, has more than 35 years experience in investment...
September 01, 2008
Broker/Dealer of the Year, Division IIThe Investment Center CEO and President Ralph DeVito A rep speaks: "They have been terrific. They are there when you need them, going the extra mile; and...
September 01, 2008
About the AdvisorTony Purpero Senior Financial Advisor and Consultant Partnervest Financial Group LLC 510 Castillo Street Santa Barbara, California 93101 Phone: 805-966-1266 E-mail: [email protected] Web site: www.partnervest.com Year firm founded: 2001 Number of advisors in firm:...
September 01, 2008
Honor RollYear in and year out, most voting reps give their individual B/Ds high marks. Following is the list of firms that garnered first, second, and...