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With so many independent b/ds in the industry, it’s not always easy to tell one from the next. In a continuing effort to help our readers become more familiar with their options, we’ve asked the heads of two independent b/ds to answer...
The hybrid channel—made up of advisors who have their Series 7 and are registered as investment advisors—is growing, and b/ds and clearing and custody firms are here to help.
Name Firm (b/d) City Est. AUM in $MM Yrs. In Biz Business Description/Specialty 1 Kevin Myeroff NCA Financial Planners (Royal Alliance) Cleveland $2.650 30 Investment management, retirement planning, estate and tax planning services. 2 Ron Carson...
As nervous retail investors, spooked by Wall Street's fading fortunes, started seeking a safer haven for their money in recent months and the potential to juice returns with seemingly no downside risk many were lured by offers of principal...
Bank of America settled with the SEC and state regulators today over allegations of fraud in connection with the sale of auction-rate securities, agreeing to buy them back from its retail customers at par.
