Independent Broker-Dealers

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  1. Articles

    LPL Financial names William Morrissey to replace Derek Bruton

    William Morrissey, a 10-year company vet responsible for recruiting new advisers and their practices, was appointed head of LPL Financial's Independent Advisor Services unit, replacing Derek Bruton.

  2. Articles

    A better TIC?

    Newfangled private placements called DSTs offer some improvements to TICs, many of which backfired during the financial crisis, but DSTs still carry high costs and are illiquid. Bruce Kelly has the story.

  1. Articles

    Sterne Agee Group in deal to acquire midsize independent broker-dealer WRP Investments

    Match 'made in heaven' says president of WRP, which has 350 reps and had $48 million in gross revenue in '13.

  2. Articles

    J.P. Turner gussies up for Schorsch

    Independent B-D spends $8.8 million to resolve litigation prior to acquisition by RCS Capital.

  3. Articles

    Raymond James nets $640 million J.P. Morgan duo

    The firm picked up a father-son team of Michael and Benjamin Cohen who previously generated $4.2 million in production at J.P. Morgan Securities.

  4. Articles

    John Hancock B-D to terminate health and insurance benefits

    Registered representatives at Signator Investors Inc., John Hancock's broker-dealer, received some dismaying news on Tuesday: The firm will be terminating its health and insurance benefits and will freeze its retirement benefits plan at the end of the year. Effective Jan. 1, 2015, the firm will

  5. Articles

    Former Vermont securities director joins LPL as a compliance officer

    John Cronin will oversee supervisors in the Northeast; 'it's like hiring an IRS guy to be your CPA.'

  6. Articles

    Account opening is No. 1 tech concern: Survey

    Beacon finds 'client onboarding' has replaced social-media archiving as brokers' biggest technology challenge.

  7. Articles

    Infographic: Meyers Associates' Finra BrokerCheck records

    Last Friday, senior columnist Bruce Kelly reported on Meyers Associates, a firm that stands out for all the wrong reasons. InvestmentNews reviewed Finra records of 75 Meyers Associates brokers, and found that the percentage of registered representatives with a disclosure event is an astounding five

  8. Articles

    BrokerCheckmate: Finra marks wave big red flag

    Bruce Kelly reports about Meyers Associates, a small New York broker-dealer with five times the industry average of registered reps with marks, or 'disclosure events' on their record.

  9. Articles

    LPL hit with Finra fine for alternative investment sales

    Products include nontraded REITs, oil and gas partnerships, BDCs, hedge funds and managed futures.

  10. Articles

    Inland American offers limited liquidity event through tender offer

    Inland American offers shareholders a way to cash out, but place limits on the buyback and values shares at no more than $6.50 a share.

  11. Articles

    Schorsch's stock rising

    Shares of company nontraded REIT czar is using to build a B-D empire have more than doubled since beginning of December .

  12. Articles

    Where your young boomers prospects are going for advice

    Investors across all wealth tiers are more accepting of online advice models, such as self-directed platforms, Cerulli reports.

  13. Articles

    Finra fines two IBDs owned by Ladenburg Thalmann a total of $1.275M

    Triad Advisors, Securities America failed to supervise reps who created and sent inaccurate consolidated account statements to clients, regulator says.

  @IN Wire

Mar 07 10:29PM
10 professions that need the most coffee to survive - I Love Coffee
Mar 07 10:00PM
"J.P. Morgan Securities goes on recruiting offensive" good read

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