Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Clustered Near the Top
By Staff WriterThe good news for the independent broker/dealers who competed in the 17th annual balloting for Investment Advisor Broker/Dealers of the Year is that the vast...
September 01, 2007
Know What Else I Could Use?It would seem that reps participating in this year's survey are for the most part pretty satisfied with the products and services that their B/Ds...
September 01, 2007
Division IV, Cambridge InvestmentCambridge Investment Research, Inc. Founder, President, and CEO Eric Schwartz Founded: 1981 Producing reps: 1,099 2007 estimated gross revenue: $235 million 2006 average annual gross production per rep: $207,000 Ratio of...
September 01, 2007
News & ProductsMorgan Stanley DW Inc. has been fined $1.5 million by the Financial Industry Regulatory Authority (FINRA), and ordered to pay more than $4.6 million in...
September 01, 2007
Around the TableIt's no surprise that regulation remains the greatest challenge for leaders of the 2007 Investment Advisor Broker/Dealers of the Year, flanked by recruiting, transitioning to...
September 01, 2007
A Trend Confirmed?Fee-based advisory revenues are higher than traditional commission-based revenues, for the first time, at Commonwealth Financial Network. It's not a change to advisory accounts from...
September 01, 2007
A Broker's BrokerLast June, when the financially troubled Brookstreet Securities Corp. collapsed, some 500 advisors were instantly out of work. Behind the scenes, recruiter Larry Papike was...
September 01, 2007
How You Picked ThemAs the popularity of the Broker/Dealer of the Year competition has grown, so has scrutiny of the process from reps, home offices, outside observers, and...