Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
You Are Important
By Staff WriterYou may not doubt the value you offer clients, but two recent pieces of research should warm the cockles of your heart when it comes...
June 01, 2006
NEXT Financial's Auld Has Big PlansNEXT Financial Group has doubled its size every two years since 1999 and expects to continue its aggressive growth pattern in the near future. Its...
June 01, 2006
The Best B/DsBalloting for Investment Advisor's 16th annual Broker/Dealers of the Year awards will take place online only at www.investmentadvisor.com from June 1 through July 1. All...
June 01, 2006
Regulating Annuity SalesThe NASD is taking steps to assess oversight of the sales of all types of annuities by the patchwork quilt of regulatory agencies overseeing the...
June 01, 2006
UBS-Piper Jaffray Deal: 'It's a Terrific Deal'UBS is buying Piper Jaffray, which could bring it 800-plus advisors and put it more solidly in fourth place behind Merrill Lynch, Wachovia Securities and...
June 01, 2006
The Advisor ClassResearch: Some advisors still consider T. Rowe Price primarily as a direct shop. Why isn't that the case any more? Cammack: To give you a perspective...
May 19, 2006
Glauber Calls EIA Disclosure "Daunting"The head of the National Association of Securities Dealers Inc. has warned NASD members about his concerns about the complexity of equity-indexed annuities.Analyzing the suitability ...