Regional Brokerages

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

  1. Articles

    Private client group gains drive Raymond James to record quarterly profit

    Raymond James Financial continued to build on momentum as pretax profit in the private client group hit a record in the firm's third fiscal quarter, jumping 39% as profit margins reached 10%. What's CEO Paul Reilly doing right?

  2. Articles

    Baird snatches Wells Fargo adviser with $350M in AUM

    Robert W. Baird & Co. Inc. has added a top broker from Wells Fargo and a new director to its Houston market.Gary Foose Jr. joins the firm as a director and financial adviser in Houston with $350 million in client assets and $1 million in annual production.“Gary's a high-integrity guy. He's been in

  1. Articles

    Ex-Sterne Agee broker faces expulsion over $6 million hedge fund

    Finra charges broker Dean Mustaphalli opened fund and received commissions without disclosing the business to his firm. Whether Sterne Agee clients were affected remains a mystery.

  2. Articles

    As economy improves, veteran advisers stay put

    Strong market performance keeps most clients and advisers in place. Check out our database to see who's moving where.

  3. Articles

    Opinions on bull market split following most recent run-up

    After the S&P 500 reaches new heights, new questions surface on whether the market is headed up or down.

  4. Articles

    Indie reps happier at work than employee advisers: J.D. Power

    Independent advisers continue to be happier at work than their colleagues who are employees of broker-dealers but the gap in job satisfaction among the two groups is narrowing. See how your firm ranks

  5. Articles

    Sterne Agee wants to remove Holbrooks from board

    Schedules a shareholder vote, discloses ongoing investigations of former father-son executive team.

  6. Articles

    Sterne Agee's ousted CEO Holbrook said to face investigation

    Probe reportedly looking into misuse of company assets such as airplanes, boats, condos.

  7. Articles

    Are nontraded REIT commissions headed for a fall?

    New rules proposed by Finra will make fees more transparent, but could result in lower upfront commissions for brokers, Bruce Kelly reports.

  8. Articles

    Clintons jump through financial planning loopholes to dodge estate taxes they support

    Breakfast with Benjamin: Brokers pouncing on 401(k) biz. Plus: The Clintons dodge the estate taxes they support. The Fed wants to add exit fees to bond funds, U.S. banks on the edge of new funding rules, Congress mulls investor confidence on your dime, El-Erian sides with the IMF, and merger mania

  9. Articles

    Is AIG Advisor Group the next big fish Schorsch wants to land?

    Larry Roth's old firm might be the next target for Nick Schorsch's hard-charging broker-dealer, says senior columnist Bruce Kelly. Plus: See the biggest recent indie B-D M&A deals

  10. Articles

    Ranking how indie B-Ds have fared since the financial crisis

    Forget the S&P 500 and its 175.7% return since 2009. Investors who bought shares of publicly traded IBDs back then would have beaten that stunning rally. Don't miss: 10 best-paying independent broker-dealers

  11. Articles

    Erinn Ford named president of Cetera Advisors

    Move is the latest in a series of management changes at Cetera Financial Group.

  12. Articles

    Finra holds off sending nontraded REIT share price rule to SEC

    Regulator still reviewing industry comments on rule to give investors better handle on share values.

  13. Articles

    Adviser tech: Big data, gameification are next

    Everett James (E.J.) Sutherland, Commonwealth Financial Network's chief information officer, is no stranger to the world of technology, but he's a relative newcomer to the broker-dealer universe.