The National Association of Independent Broker/Dealers (NAIBD) launched a new Web site that it said offers a more comprehensive members-only section.
A female broker accused Bank of America (BofA) of gender bias by offering female former Merrill Lynch brokers lower retention payments than their male counterparts.
A survey by Charles Schwab found that 25% of investors in the U.S. are considering changing financial services firms or brokers in the next year based on their overall frustrations with their current situation.
The MetLife Broker-Dealer Group has launched an electronic business processing system for its broker/dealer operations known as eApp (electronic application) and eApp with electronic signature option.
Woodbury Financial Services, Inc., recently launched a Web site to offer tools and support for its registered representatives to reach their business objectives.
Automated Compliance Solutions (ACS) said its new compliance program management software for broker/dealers can give smaller broker/dealers bigger tools.
The details of how the joint venture between Morgan Stanley and Smith Barney will play out are yet to unfold, but retirement plan advisers seem optimistic about the deal.
Independent broker/dealers (IBDs) say recruiting is important—but the competition for advisers is high.
AIG Small Business, a division of AIG Commercial Insurance, said its AIG e-Excess platform now features a premium indication tool and multi-limit quote functionality to help brokers process excess casualty insurance submissions faster.
Three independent broker/dealers (IBDs) control an overwhelming share of managed account assets in the independent channel, according to data from Cerulli Associates.
Wirehouse, independent, or other. Which business model is right for you?
A view of a recent product development
In spring of 2008, PLANADVISER sent an e-mail to its database of broker/dealers to learn what some are doing to accommodate retirement plan advisers. This is a list of all respondents and a sampling of their answers.
The role of financial planning is becoming more important in client relationships
How to work (a) with, (b) around, (c) through your compliance department
Firms increase recruiting efforts for advisers
Decide what kind of adviser you want to be, then evaluate the services of a broker/dealer
The increased competition for top talent among broker/dealer firms has caused many firms to step up the recruiting initiative, according the latest Cerulli report.