Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
News & Products
By Staff WriterThe SEC issued a Request for Proposals (RFP) due August 24 for phase one of a major study of how regulators' rules for investment professionals...
September 01, 2006
LPL Buys UVESTIn a move that catapults two strong firms to the forefront of third-party brokerage services to financial institutions, Linsco/Private Ledger Corp. (LPL) of Boston and...
September 01, 2006
Rules and Results2006 was the 16th year in which Investment Advisor has asked its readers who are representatives of independent broker/dealers to rate their own B/Ds. Those...
September 01, 2006
Raymond James Gets ResultsIn the continuing evolution of the investment industry, one consistent trend has been the gradual reduction in fees, expenses--and commissions--that investors pay for most investment...
September 01, 2006
The Investment CenterIf keeping your representatives satisfied is the name of the game for broker/dealers, then it's no surprise that Ralph DeVito and The Investment Center are...
September 01, 2006
On the Workbench at ADP: Aggregation and BreakpointsMichael Ford at ADP Securities Industry Software agrees that aggregating many functions into one interface is something most broker/dealer representatives want. ADP already offers some...
September 01, 2006
Going MobileJust as any fashion starts to look old after a season, so, too, does technology. Moreover, those early-adopter advisors who rejoice while playing with the...
September 01, 2006
Best in the BusinessThe independent broker/dealer world is as diverse as its thousands of independent contractor representatives. From large to small, from new to well-established, from homes for...