Broker Dealers

Displaying 2795 results
NEWS EQUITIES AUG 20, 2013
The Takeaway: The trouble with low-volatility funds

By Joshua Brown
NEWS RIAS AUG 20, 2013
The Takeaway: Where active managers have an edge

By Joshua Brown
NEWS BROKER DEALERS AUG 18, 2013
Jones moves to capitalize on fee business

With more than half of its revenue coming from fees, Edward Jones plans to start selling proprietary investment products in a sharp break from the past.

By JKEPHART
NEWS BROKER DEALERS AUG 14, 2013
Raymond James snags four industry bigs in RIA push

New hires to serve as regional directors; firm plans big advertising push.

By DJAMIESON
NEWS BROKER DEALERS AUG 12, 2013
Focus beefs up breakaway-broker recruiting team

New hires to target largest wirehouse teams looking to go independent.

By AOSTERLAND
NEWS RIAS AUG 11, 2013
Attracting RIAs with more services

By DJAMIESON
NEWS RIAS AUG 11, 2013
Channel changes and hybrids keep firms on their toes

By DJAMIESON
NEWS EQUITIES AUG 09, 2013
The Takeaway: Are you in the secret wealth management cult?

By Joshua Brown
NEWS BROKER DEALERS AUG 07, 2013
With new name, broker-dealer group retrenches and sets relaunch

National Association of Broker-Dealers plans new member drive, regional confabs.

By DJAMIESON
NEWS BROKER DEALERS AUG 06, 2013
D.A. Davidson in deal for Crowell Weedon

Montana-based D.A Davidson plans to acquire Crowell Weedon, a big brokerage run out of Los Angeles. How big? The combo will create the largest full-service IBD in the western U.S.

By AOSTERLAND
NEWS EQUITIES AUG 05, 2013
The Takeaway: Keep an eye on that sales assistant!

By Joshua Brown
NEWS RIAS JUL 30, 2013
Janney lands Merrill team with more than $900 million

Group from Connecticut has $3.7 million annual production.

By Trevor Hunnicutt
NEWS BROKER DEALERS JUL 28, 2013
LPL right to eliminate 'self-supervision'

Beginning in 2015, firm to charge its reps for outside supervision.

By Bruce Kelly
NEWS BROKER DEALERS JUL 28, 2013
Carson acquires $218M AUM hybrid

Plans to complete up to eight such deals this year.

By Bruce Kelly
NEWS BROKER DEALERS JUL 25, 2013
Financial advisers return to Securities America

Two vets say firm's difficulties weren't to blame for departure in '06.

By AOSTERLAND
NEWS BROKER DEALERS JUL 25, 2013
Finra panel sets $18.5 million award against defunct B-D

Action related to Provident Royalties, found to be a Ponzi scheme.

By Bruce Kelly
NEWS BROKER DEALERS JUL 24, 2013
So long, Morgan Keegan

Raymond James retires brand ahead of schedule

By AOSTERLAND
NEWS BROKER DEALERS JUL 23, 2013
Interest rate spike boosts fortunes of broker-dealers

Citi analyst upgrades Schwab to buy, boosts price targets for LPL, TD Ameritrade.

By Bruce Kelly
NEWS BROKER DEALERS JUL 21, 2013
Stand-alone LPL reps to see big fee hike

Firm will no longer allow one-person shops to supervise themselves.

By Bruce Kelly
NEWS EQUITIES JUL 19, 2013
The Takeaway: Welcome to the world's most hated stock market

By Joshua Brown