Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Stepping Up at Royal
By James J. GreenLarry Roth, president and CEO of the AIG Advisor Group broker/dealer Royal Alliance Associates, announced several management promotions on September 21.
September 01, 2006
Disclosure Diversionover the years I've observed that disclosure was the direction in which financial services firms diverted the attention of well-meaning, largely clueless regulators who were...
September 01, 2006
What Do Reps at Independent B/Ds Want?As part of the annual balloting process that culminated in the announcement of the 16th annual Broker/Dealers of the Year, Investment Advisor asked voting representatives...
September 01, 2006
Contemporary Financial SolutionsWhen it comes to an innovative business model, West Palm Beach, Florida-based Contemporary Financial Solutions may have the most unique business plan: it welcomes lower...
September 01, 2006
Man Versus MachineTechnology is our friend, right? That's what I've always heard anyway. Given a recent experience, I may reserve judgment for a while. Like many of you,...
September 01, 2006
Podcast: Broker/Dealers of the YearThe September issue of Investment Advisor contains coverage of our 2006 Broker/Dealer of the Year winners. In preparing that cover story, Editor-in-Chief Jamie Green and...
September 01, 2006
Next Financial GroupOnly seven years old, NEXT Financial has won broker/dealer of the year honors for the sixth year in a row, and did it in three...
September 01, 2006
On the Workbench at AFS: Online Trading, but Not Yet MobileTerry Thorsen knows all about mom-and-pop shops. As the founder of New York-based Automated Financial Services, which provides front-office software, Thorsen knows first hand how...