Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
What's NEXT for Reg S-P?
By Elizabeth D. FestaFirms recruiting breakaway brokers need to be wary in the wake of a very stern administrative law judge's decision sanctioning NEXT Financial Group, Inc. for...
September 01, 2008
B/D or RIA? The Case for the Flexible B/DThe financial services industry has changed radically in the past 20 years. By foreseeing the rise of fee business and building a model to accommodate...
September 01, 2008
Striking While the Iron Is HotAttempting 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
Good for GM?"What's good for General Motors is good for the country," GM president Charles Erwin Wilson reportedly declared in the Senate in 1953. Historians claim that...
September 01, 2008
B/D or RIA? The Case for the Registered Investment AdvisorI recently gave a presentation at a national conference contrasting the strengths and weaknesses of being an advisor in a wirehouse, at a bank, with...
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