Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
September 01, 2006
Next Financial GroupOnly seven years old, NEXT Financial has won broker/dealer of the year honors for the sixth year in a row, and did it in three...
September 01, 2006
On the Workbench at AFS: Online Trading, but Not Yet MobileTerry Thorsen knows all about mom-and-pop shops. As the founder of New York-based Automated Financial Services, which provides front-office software, Thorsen knows first hand how...
September 01, 2006
News & ProductsThe SEC issued a Request for Proposals (RFP) due August 24 for phase one of a major study of how regulators' rules for investment professionals...
September 01, 2006
If I weren't already happily married . . .One of the most telling questions on the annual "Rate Your Broker/Dealer" ballot is the one that inquires "If you were to affiliate with another...
September 01, 2006
Woodbury Financial ServicesWoodbury Financial is a big firm, with nearly 2,000 producing reps, and a big corporate parent in the form of The Hartford. But a simple...
September 01, 2006
LPL Buys UVESTIn a move that catapults two strong firms to the forefront of third-party brokerage services to financial institutions, Linsco/Private Ledger Corp. (LPL) of Boston and...
September 01, 2006
Rules and Results2006 was the 16th year in which Investment Advisor has asked its readers who are representatives of independent broker/dealers to rate their own B/Ds. Those...
September 01, 2006
The Investment CenterIf keeping your representatives satisfied is the name of the game for broker/dealers, then it's no surprise that Ralph DeVito and The Investment Center are...
September 01, 2006
On the Workbench at ADP: Aggregation and BreakpointsMichael Ford at ADP Securities Industry Software agrees that aggregating many functions into one interface is something most broker/dealer representatives want. ADP already offers some...
September 01, 2006
Going MobileJust as any fashion starts to look old after a season, so, too, does technology. Moreover, those early-adopter advisors who rejoice while playing with the...