Broker-Dealers

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Broker-dealers focus intently on transitions

Like their clients, advisers and registered representatives are getting older and often worry about their futures.

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Referrals show Fidelity has more faith in RIAs

With the specter of millionare clients’ assets slipping through its fingers in a hot rollover market, Fidelity Investments is placing its high-net-worth strategy squarely on the shoulders of registered investment advisers.

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Co-founder of ING firm jumps to NFP

One of the founders of Financial Network Investment Corp., the largest independent-contractor broker-dealer in the ING Advisors Network Inc., walked out the door last month and joined NFP Securities Inc., leaving some observers to wonder how many registered representatives affiliated with FNIC eventually could follow.

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Wirehouses warm to fiduciary status

In an effort to prevent top brokers from bolting, wirehouses quietly are backing down from their tough stance against allowing advisers to act as fiduciaries to employee retirement plans.

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Merrill pads its lead in race for assets

Merrill Lynch & Co. Inc. continues to lead the wirehouse race for net new client assets.

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Wachovia to unveil deferred-comp program

IRVINE, Calif. — Wachovia Securities LLC of Richmond, Va., is expected to roll out in coming weeks a significant new incentive program.

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Up-and-coming execs

Three executives of National Planning Corp., Sean Haley, Bryan Jacobsen and Austin Moon, have received promotions.