Independent Broker-Dealers

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  1. Articles

    SEC appeals own judge's decision in case on custodians' payments to advisers for fund picks

    The regulator is fighting a decision by its administrative judge to dismiss charges accusing two financial advisers of not informing clients they were paid by Fidelity Investments to sell certain mutual funds.

  2. Articles

    Voya restricts variable-annuity sales under regulatory pressure

    In response to Finra's warning on suitability, the firm's affiliated brokers will no longer sell certain types of L share annuities, a move that puts the company in line with other B-Ds.

  1. Articles

    Stifel Financial in deal to buy Barclays' U.S. wealth unit

    Stifel Financial agreed to buy Barclays Plc's U.S. wealth-management business, which has about 180 financial advisers in the U.S. managing $56 billion in total client assets.

  2. Articles

    Pershing CEO: RIA growth outpacing B-Ds

    Ron DeCicco expects the RIA channel to continue growing while regulatory pressures and higher expenses weigh down broker-dealers.

  3. Articles

    LPL hires E*TRADE CFO Audette to replace Dan H. Arnold

    Manager known as a 'turnaround artist' to take financial helm after Arnold bumped to president to replace Moore.

  4. Articles

    Stifel deal for Barclays unit would amp up ambitions to attract elite advisers

    An acquisition of Barclays' U.S. wealth unit would add $47 billion in assets and 249 advisers who focus on ultrahigh-net-worth clients, filling a gap in Stifel Financial CEO Ron Kruszewski's advisory business.

  5. Articles

    Raymond James bolsters indexed annuities and life wholesaling with acquisition

    Deal with insurance marketer Producers Choice is expected to give the broker-dealer greater control over the way annuities are wholesaled to its advisers.

  6. 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.

  7. 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

  8. 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

  9. 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.

  10. 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.

  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)