Subscribe

Independent broker-dealers poised to keep roaring in 2014

These are heady times for the independent-broker-dealer industry, which came roaring back to life in 2013 and is…

These are heady times for the independent-broker-dealer industry, which came roaring back to life in 2013 and is poised for another strong year, despite the broad market's recent volatility.

Overall, 2013 saw a return to double-digit revenue growth on average for the largest 25 independent brok

Subscribe or log in to read the rest of this content.

Related Topics:

Learn more about reprints and licensing for this article.

Recent Articles by Author

Broker who took client funds for 17 years is barred

"A broker admitting that he has been ripping off clients for 17 years is beyond troubling," said one attorney.

SEC boots California RIA linked to crypto, private funds

"Nobody knows what’s happening internally in these pooled funds at the retail level," said one plaintiff's attorney.

Former head of Osaic B-D lands at AssetMark

"Having relationships with financial advisors is one of the greatest assets these senior executives possess," said one industry official.

Colorado bars advisor over high-risk options trades

"Buying options is fraught with risk for financial advisors," one attorney noted.

Finra bars two ex-Raymond James advisors who sold unapproved products

Firms must take reasonable steps to avoid financial advisors' selling away, one compliance expert noted.

X

Subscribe and Save 60%

Premium Access
Print + Digital

Learn more
Subscribe to Print