Regional Brokerages

  1. All
  2. Articles

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

  1. 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.

  2. 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.

  1. 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.

  2. 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.

  3. 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.

  4. 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)

  5. 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

  6. 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.

  7. 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.

  8. 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.

  9. Articles

    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.

  10. Articles

    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.

  11. Articles

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

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

  12. Articles

    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.

  13. Articles

    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.