Tag: Broker/Dealer

National Financial, a Fidelity Investments company and provider of custody and clearing services to broker/dealers, announced a suite of fee-based trading capabilities into its Streetscape brokerage workstation.

The benefits, insurance, and wealth management service provider will now be known as NFP.

John Hancock Financial Network (JHFN) has launched an effort to expand growth through its retirement planning platform and has hired industry veteran Bruce Harrington to lead the effort.

Morgan Stanley Smith Barney (MSSB) has appointed Managing Director James F. Walker to lead the Consulting Services Group.

Arthur J. Gallagher & Co. has acquired Old Greenwich Consulting Group based in New York, after acquiring Benefits Unlimited in early August.

Ed O’Connor has joined Morgan Stanley Smith Barney as managing director and the head of Retirement Services.

Wells Fargo Advisors Financial Network, LLC (WFAFN) says it “expanding and realigning” its Supervision Team in anticipation of continued growth in its independent financial advisor...

International insurance brokerage and risk management services firm Arthur J. Gallagher & Co. has acquired Benefits Unlimited, Inc. in Houston, Texas.

Aon Corp. announced today that it will resume accepting various forms of compensation for its brokerage business where appropriate.

CAPTRUST Financial Advisors has expanded its new Texas presence with a Fidelity hire.  

As part of the acquisition of National Retirement Partners (NRP), NRP employees will join LPL Financial to will form a new division called LPL Financial Retirement Partners. 

LPL Financial Corporation is acquiring National Retirement Partners Inc. (NRP).

Charles Schwab, has announced additional details on the integrated technology platform the company is developing.

Joseph B. (Joby) Gruber has been named president of national sales and marketing for American Portfolios Financial Services (APFS).

John A. Pickett has joined Raleigh, North Carolina-based CAPTRUST Financial Advisors, leaving RBC Wealth Management’s Institutional Consulting Group.

Commissions paid by institutional investors to brokers on trades of U.S. equities are falling far short of projections to this point in 2010, according to Greenwich Associates.

Pershing LLC, a BNY Mellon company, has launched an educational initiative about international investing to help its introducing broker/dealer (IBD) and independent registered investment adviser (RIA) customers capitalize...

Bank of America Merrill Lynch has enhanced and renamed its small business retirement plan platform, MLConnect, to” more closely align with small business owners’ evolving challenges and priorities.”

linkedFA, a social networking service for financial professionals, has partnered with LiveOffice to enable preapproval and archiving of social media posts and RSS feeds.