Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
An Insider's View: Keith Singer
By Daniel WilliamsFor this issue of Market Conduct & Suitability, Senior Market Advisor editor Daniel D. Williams spoke with Keith Singer, JD, CFP at Keith Singer Wealth Management in Boca Raton, Fla. to get his thoughts on compliance, suitability and senior
July 02, 2008
BenefitMall Scoops Up BenefitPortCenterstone Insurance and Financial Services Inc. has acquired BenefitPort Southwest.BenefitPort, Fort Worth, Texas, is a general agency founded in 1985 that distributes individual, group and ...
July 01, 2008
Poor reasons to switch B/DsFor all of the good reasons to rethink a relationship with a broker/dealer, there are some bad reasons, too. Some of the more prevalent mentioned...
July 01, 2008
Celebrating the spirit of independenceHappy Summer! Can you believe that half of the year is already behind us? July is always a great month to take some time off, smell the roses and on a professional level, assess your practice so as to gear up for a strong second half of the
July 01, 2008
Questions to facilitate changeFor an advisor, changing broker/dealers could be one of the most difficult decisions to make. If advisors aren't getting everything they need from their current...
July 01, 2008
Don't Stop SpendingThe credit crunch of 2007 has led to a decline in value of structured products like credit derivatives. "These products had been highly leveraged by...
July 01, 2008
NEWS & PRODUCTS, JULY 2007Marcia Martin was named senior vice president, operations and partner support, at Cambridge Investment Research. Martin, who joined Cambridge in January 2005, assumes oversight for...
July 01, 2008
Fight the PowerEver wonder whether you could take on the Financial Industry Regulatory Authority (FINRA) and actually come out better than if you had settled? The answer,...