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.
These firms boosted their businesses significantly between 2013 and 2014
Despite lackluster sales of commission-rich products, 2014 revenues grew in line with the broad market. What does 2015 have in store? </br><b><i>(Plus: <a href="//www.investmentnews.com/section/specialreport/20150426/IBD042015"" target=""_blank"" rel="noopener noreferrer">Our full Top Independent B-Ds of 2015 special report</a>)</b></i>
Robert Moore's successor as LPL president talks about his earlier career and the challenges facing the independent broker-dealer industry
Nicole Petrosino, LPL's new head of federal government relations, outlines the firm's agenda, including getting advisers in front of their own elected officials
The $1.15 billion deal brings in 6,600 reps and four B-Ds under the RCAP umbrella.
CEO Mark Casady takes biggest hit; $1.5M bonus is down 41% from previous year
Nick Schorsch, who over the past five years grew to dominate the nontraded REIT business, this week put the independent broker-dealer industry on notice that he is a force to be reckoned with in that industry as well, with two deals in two days that would put his network second to LPL in rep headcount.
As markets thrive and wealth management becomes a focus at major firms, brokerage execs like Morgan Stanley's Greg Fleming enjoy bigger paydays.
Time for advisers to develop an online approach — here's how.
Longtime industry exec to use Cetera's First Allied as broker-dealer in setting up OSJ.
New Hampshire Bureau of Securities Regulation says B-Ds do not 'fully understand' how to comply with telemarketing rules.
Girard Secuirities is being audited by the SEC, which is focusing on the firm's supervision of branch offices. CEO suggests move is part of larger investigation.
Firm finds virtual assessments in which candidates perform key duties are better at determining retention.
Resource Horizons Group may not be able to meet net capital requirements; Kovack Securities opens its doors to advisers.
Jo Ellen Fisher, an independent contractor with Raymond James Financial Services, allegedly stole $925,000 from a 95-year-old client to fund personal expenses, Finra says.
New acquisition by nontraded REIT czar costing him &mdash; $3.74 million in Texas state court settlement over sale of DBSI notes.
Froude, who oversees about 9,700 advisers, has been in the role since 2008. He will turn his focus to "field initiative and projects" at the company.
Commissioner says administration ignores industry's stiff oversight by market regulators.
