Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Risky Business
By Staff WriterTime is money, certainly in the U.S. stock market. In fact, in just a matter of years, the time it takes to process orders has...
June 01, 2008
The B/D CustodianAs the broker/dealer industry moves, seemingly inexorably, to the fee side of the business, one specific independent B/D--LPL Financial--has taken what might be considered the...
June 01, 2008
From a Small B/D, Regulatory and Risk ConcernsBroker/Dealer Advisory Board member Nick Sondel, president and CEO of Harbour Investments, in Madison, Wisconsin, and Broker/Dealer of the Year winner in Division I (up...
June 01, 2008
How Will Advisors Thrive?The financial services industry, like most other industries around the globe, is increasingly entrenched in a red ocean of bloody competition. Financial services firms have...
June 01, 2008
Pinning Down PricesIt seems almost providential that at a time when financial market gyrations have been keeping broker/dealers on their toes that Nasdaq should come out with...
June 01, 2008
What Will It Mean to Be an Independent Financial Advisor?With baby boomers moving into self-funded retirement, the advisor will need to become expert at risk analysis, risk management and financial life planning. There will...
June 01, 2008
What's in Store for the Mutual Fund Industry?What has the mutual fund industry accomplished in the past 30 years, and how is it poised to build on these developments in the next...
June 01, 2008
The Presidents SpeakIn each of the past 15 years, Investment Advisor has asked independent broker/dealers to provide information for the IA Broker/Dealer Directory, and last year started...