Independent Broker-Dealers

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  1. Articles

    Independent broker-dealer recruiting hits a wall

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

  2. Articles

    Largest independent broker-dealers enjoy double-digit revenue growth

    Despite lackluster sales of commission-rich products, IBD revenues grew in line with the broad market in 2014. But what does 2015 have in store?

  1. Articles

    LPL Financial's Dan Arnold is managing amid complexity

    Robert Moore's successor as LPL president talks about his earlier career and the challenges facing the independent broker-dealer industry

  2. Articles

    Former Cetera owner Don Marron returns to the investment advice business

    Industry vet says the future lies in retail, with baby boomers retiring and workers being moved to defined contribution plans away from pensions.

  3. Articles

    Broker-dealer expands crowdfunding reach with new partnership

    Broker-dealer North Capital Private Securities adds crowdfunding site OneVest to its platform that syndicates private offerings for investors.

  4. Articles

    Stifel's purchase of Sterne Agee likely not its last in the broker-dealer space

    The acquisition signals Stifel's interest in growing its wealth management business, though future deals depend on what's available — and at what price, according to CEO Ron Kruszewski.

  5. Articles

    Merrill Lynch's John Thiel urges colleagues to work with DOL on fiduciary rule

    At least one major industry player is taking a more welcoming stance toward working with the Labor Department as it seeks to create a rule that would hold brokers to a fiduciary standard when dealing with retirement plans.

  6. Articles

    Brokerage executives enjoying steadily increasing payouts

    As markets thrive and wealth management becomes a focus at major firms, brokerage execs like Morgan Stanley's Greg Fleming enjoy bigger paydays.

  7. Articles

    Tony Thompson barred from securities industry

    The regulator said he misrepresented $50 million private offering that later went into default

  8. Articles

    Are brokers being branded with a scarlet 'S'?

    Proponents of a fiduciary standard are ganging up on commission-based advisers through public shaming regarding the Suitability standard.

  9. Articles

    Royal Alliance acquires small independent B-D

    Formerly known as First Midwest Securities, the IBD has 33 advisers and $600 million under management.

  10. Articles

    LPL cuts cash bonuses for top three executives in 2014

    CEO Mark Casady takes biggest hit; $1.5M bonus is down 41% from previous year

  11. Articles

    Five broker-dealer execs no longer at Cetera

    Top managers from First Allied and J.P. Turner have left the sprawling Cetera Financial Group broker-dealer network, with 9,600 registered reps and financial advisers. Whether the exits are part of a broader reorganization is unclear.

  12. Articles

    Investors see few benefits of lower fees in adviser-sold investments

    Managed accounts sold by advisers deflect trend toward lower-fee money management as brokers work to maintain profits: Cerulli.

  13. Articles

    Don Froude stepping down as president of Ameriprise's personal advisers group

    Froude, who oversees about 9,700 advisers, has been in the role since 2008. He will turn his focus to "field initiative and projects" at the company.