Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Adds 3 Teams With $1.8B
By Janet LevauxThe teams moved to the broker-dealer from Ameriprise, Morgan Stanley and UBS.
June 10, 2025
The No. 1 Thing Advisors Want When They Switch FirmsUnhappy advisors are quicker to move as new tech has made the process easier, recruiter Derrick Friedman says.
June 09, 2025
Osaic CEO: New Advisor Tech Tools 'Will Blow Your Mind'AI-enabled stock picking is coming, but the "Fourth Industrial Revolution" goes far beyond that, Jamie Price says.
June 09, 2025
LPL, Edward Jones Among 5 Firms Ordered to Pay $29M Over Excessive CommissionsThe firms charged nearly $19 million in unreasonably high commissions over five years, state regulators say.
June 03, 2025
Goldman, Morgan Stanley and JPMorgan Laying Off Staff in JuneHundreds of positions are being cut in New York and New Jersey.
June 02, 2025
Ameriprise Fights LPL Advisors' Request to Block Device SearchAmeriprise is pushing back against anonymous LPL advisors filing to intervene in LPL's forensic review of advisors' devices.
June 02, 2025
Supreme Court Rebuffs Challenge to FINRA's AuthorityThe justices turned away an appeal from Alpine Securities, allowing a FINRA case against the BD to proceed.
May 28, 2025
RBC Wealth Lands $1.6B UBS GroupThe team comes on board in Boise, Idaho, with eight members.