Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ameriprise Closes Window on Advisor Recruiting
By Allison BellVolatility helped increase the appeal of its technology and strength in the first quarter, the company noted.
April 22, 2025
What Advisors Should Know When Their BD Gets AcquiredCommonwealth is far from the only BD caught up in the ongoing consolidation wave, recruiter Jodie Papike says.
April 21, 2025
Ex-Securities America CEO Sues OsaicJim Nagengast is claiming breach of contract related to his departure from the financial services firm in 2024.
April 18, 2025
Schwab-TD Ameritrade Antitrust Case Settled, Notification Process UnderwayOver 25.5 million customers were to receive settlement notifications, a court document indicates.
April 18, 2025
Raymond James Launches Proprietary AI Search ToolThe tool lets advisors search the firm’s internal knowledge base and receive precise, tailored information.
April 16, 2025
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC RoundupThe fight over who qualifies as a securities dealer isn’t finished.
April 15, 2025
LPL Calls Ameriprise Data-Breach Notices 'Defamatory'"Ameriprise has sunk to a new low" by sending breach notices to clients whose advisors switched firms, LPL says.
April 11, 2025
Edward Jones Files to Launch a BankEdward Jones Bank would operate independently, with its main office in the Salt Lake City area.