live broker platform demos, Fidelity Investments is our best... Best for ETFs Fidelity is our best broker for ETFs because of... a broker with a huge customer service network, including 200...
com Commonwealth Financial Network is a privately held Registered Investment Adviser–independent broker/dealer based in Waltham, Massachusetts, and 110 Plaza in San Diego, California, and...
2024 Independent Broker-Dealer Survey: The IBD Universe And Its Systemic Evolution ; 2023 Independent Broker-Dealer Survey: IBDs Invest In Reps' Succession ; 2022 Independent Broker-Dealer Survey: The Big Blur ; 2021 Independent Broker-Dealer Survey: IBDs Navigate The Pandemic
In January 2014, Stifel Nicolaus and Stifel Independent Advisors, both St. Louis-based broker-dealer divisions of Stifel, settled with Finra for just over $1mn for failing to establish...
MF Global Inc., its broker-dealer subsidiary, was a primary dealer in United States Treasury securities. A series of perceived liquidity problems and large fines and penalties dogged MF...
Madoff Investment Securities LLC as a broker-dealer for penny stock with $5,000 (equivalent to $51,000 in 2023) [45] that he earned from working as a lifeguard and irrigation sprinkler...
Firm, Reps ▼, $100K-$499K reps, $500K+ reps ; LPL Financial LLC, 17,287, 0, 0 ; Advisor Group, 14,513, 4,362, 1,411 ; Lincoln Financial Network, 10,620, —, —
The largest privately held RIA-independent broker/dealer ranking highest in advisor satisfaction. We are the RIA-B/D that puts you first.
Broker Dealer or Prime Broker – The big stockbrokers who clear their own transactions, which is to say they move transacted shares between their customers directly, or with the DTC. Small...
15 THE BROKER-DEALER PERSPECTIVE. 22 Mark Casady. 22 QUESTIONS AND ANSWERS. 31 RETAIL DISTRIBUTION AND OPERATIONAL OVERVIEW – OUR PRIMARY ENGINE FOR GROWTH. 34 Mike Wells. 34 JNL’S...