Regional Brokerages

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Watch breaking news videos and read news updates about Regional Brokerages on investmentnews.com

  1. Articles

    From the C Suite with Raymond James' CEO Paul Reilly: Listen and learn. But in a crunch, be decisive

    Exec honed his listening and peacemaking skills growing up as the third of eight children and those talents have come in handy.

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    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.

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    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)

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    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

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    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.

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    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.

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    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.

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    Forget personality tests, Edward Jones uses job simulation to assess potential hires

    Firm finds virtual assessments in which candidates perform key duties are better at determining retention.

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    Edward Jones continues push into proprietary funds

    Brokerage giant is expanding its lineup of proprietary mutual funds for its 12,000 brokers and financial advisers a year and a half after the firm launched its first fund.

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    SEC's Gallagher slams White House fiduciary memo as 'propaganda'

    Commissioner says administration ignores industry's stiff oversight by market regulators.

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    Stifel in talks to acquire Sterne Agee

    A deal, which would combine two of the biggest U.S. brokerages outside of New York, could be announced within days, according to a person with direct knowledge of the matter.

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    Cetera president blasts White House memo defending DOL fiduciary

    Arguments continue on both sides about the merits of the recently-leaked White House memo and what it means for the standard's future prospects.

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    Fidelity fined $350,000 in billing snafu

    Finra said the firm overbilled more than 20,000 fee-based accounts in its RIA unit by $2.4 million over seven years and ordered it to pay a $350,000 fine.

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    Merrill to pay $400,000 over telemarketing compliance shortfall

    New Hampshire Bureau of Securities Regulation says B-Ds do not “fully understand” how to comply with telemarketing rules.

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    2014 big for indexed annuities: Broker-dealer execs

    The year isn't over yet, but executives at broker-dealers say they've had a major rise in the indexed-annuity business — to the point that it may be cannibalizing sales of variable annuities.At Raymond James Financial Inc., the annualized run rate for variable annuities is about $1.8 billion, a