|Social Media & Mobile|
|Allows advisers to use social media||Y|
|Social media sites allowed|
|Dedicated mobile application for advisers?||N|
|Primary purpose of mobile application||—|
March 14, 2017 - In the midst of a punishing business environment for small and mid-sized broker-dealers, National Holdings Corp. said on Monday it was acquiring select assets of Williams Financial Group of Dallas, including its independent broker-dealer, WFG Investments....
January 22, 2017 - If past is prologue, 2017 should see a steady pace of independent broker-dealer consolidation and mergers and acquisitions. Last year saw transactions involving firms that house thousands of registered reps and financial advisers as the industry scrambled...
July 27, 2016 - Securities America Inc. has agreed to acquire rep-owned, independent broker-dealer Foothill Securities Inc., according to two industry sources. In May, Foothill Securities chairman John Burroughs said that Foothill, an adviser-owned firm with 220 registered...
June 29, 2016 - National Holdings Corp. president Mark Goldwasser is leaving the firm about two months after the brokerage firm agreed to be bought by Fortress Biotech Inc. He won't accept the board's extension of his contract on present terms, National Holdings said...
May 10, 2016 - Foothill Securities Inc., an adviser-owned independent broker-dealer with 220 registered reps under its roof, is in â€śserious discussionsâ€ť to be acquired by a larger firm, according to its chairman, John Burroughs. Four firms currently in discussion...
April 28, 2016 - Independent broker-dealer merger-and-acquisition activity continued its steady pace in 2016 as National Holdings Corp. said Thursday that it had reached an agreement to be acquired by Fortress Biotech Inc., a biopharmaceutical company that develops novel...
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.
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Editorial director Fred Gabriel and senior columnist Jeff Benjamin say there's a disconnect between the big appetite for environmental, social and governance funds in 401(k) plans and their offering.
Latest news & opinion
Blucora is paying $180 million in stock for 1st Global, with 850 advisers.
Former brokers bringing charges related to stock losses during financial crisis have had 15 cases proceed, four stopped so far.
Acquisition would be in line with trend of record keepers seeking to gain scale to combat fee reduction.
Former brokers bringing charges related to stock losses during financial crisis have had 15 cases proceed, 4 stopped so far.
There's growing interest among plan participants, but reluctance to add funds that take into account environmental, social and governance factors persists.