Broker-Dealers

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  1. Articles

    Eaton Vance offers to pay broker-dealers that adopt 'NextShares' active funds

    Firm faces challenge convincing broker-dealers to sell a new type of investment product.

  2. Articles

    Recent fine may hasten LPL Financial's shift to fee compensation

    The broker-dealer acknowledges the growing importance of its fee and advisory businesses

  1. Articles

    Schwab considers expanding RIA custody model outside U.S.

    CEO Bettinger also defends robo-advisers, although he acknowledges they haven't been tested by a bear market

  2. Articles

    RCAP earnings down on weaker sales of nontraded REITs

    Broker-dealer built by Nicholas Schorsch nearly doubled first-quarter loss from a year ago, thanks to weakness in the wholesale distribution of investment products.

  3. Articles

    What draws women advisers to certain IBDs

    Some IBDs are finding extraordinary success in leveling the ranks of male and female advisers, even though on average less than one out of every five advisers today is a woman. Here's how they do it.

  4. Articles

    How the biggest independent broker-dealer networks stack up

    After looking at the independent broker-dealers with the most producing reps and the biggest year-over-year gains in assets and revenue in 2014, attention now shifts to the industry's big networks and the various firms under their umbrellas.Below you'll find a ranking of how the five biggest

  5. Articles

    DOL fiduciary rule could hurt nontraded REIT sales: LPL's Casady

    LPL CEO Casady says that as written, rule would bar sales of certain alternative investments in brokerage retirement accounts. (See also: Democratic senators split from White House on DOL fiduciary rule)

  6. Articles

    The independent broker-dealers with the biggest revenue and asset gains in 2014

    Revenues at the largest independent broker-dealers grew 10.3% year-over-year in 2014, a figure in line with the broad market but below the 13.2% year-over-year revenue increase in 2013.While LPL Financial and Ameriprise dominate the independent broker-dealer industry based on total revenue, a group

  7. Articles

    The independent broker-dealers with the most female advisers

    The business is male-dominated, but some independent broker-dealers have come close to having 30% of producing female reps on staff. Here's a break down of the gender divide.

  8. Articles

    John Sykes sells brokerage business to Ameriprise

    Deal with Ameriprise could mark the end of the line for John Sykes, who, at one time, hoped to build a brokerage to rival Raymond James.

  9. Articles

    The latest ranking of independent broker-dealers by rep head count

    Even if recruiting at independent broker-dealers has hit a wall, the industry still features a number of firms with expanding numbers of registered reps.

  10. Articles

    Retail brokers are shut out of the SEC's market reform efforts

    Breakfast with Benjamin: Retail brokerages are shut out of the SEC's advisory committee for market reforms to protect retail investors.

  11. Articles

    The independent broker-dealers that offer the highest average payouts

    In 2014, independent broker-dealers enjoyed double-digit revenue increases, but adviser recruiting slowed considerably.While adviser movement may have decreased in 2014, average payouts remained robust at the industry's best-paying firms. We've ranked the top-paying independent broker-dealers based

  12. Articles

    Independent broker-dealer recruiting hits a wall

    Competition from custodians and good market performance are keeping more brokers at their firms

  13. Articles

    Largest independent broker-dealers enjoy double-digit revenue growth

    Despite lackluster sales of commission-rich products, 2014 revenues grew in line with the broad market. What does 2015 have in store? (Plus: Our full Top Independent B-Ds of 2015 special report)