Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
David Canter to Join Kestra's Bluespring as President
By Jeff BermanThe news comes two days after Fidelity said Canter would step down as head of its RIA segment.
July 12, 2022
Record-Low Fund Fees Saved Investors $6.9B Last Year: MorningstarU.S. funds' asset-weighted average expense ratio fell to 0.40% in 2021, less than half of what it was in 2001.
July 08, 2022
LPL Financial to Buy 108-Year-Old FirmLPL signed a deal to buy the Private Client Group business of Boenning & Scattergood in Pennsylvania.
July 08, 2022
Envestnet Buys Advisor Billing Provider: Tech RoundupAlso, the Digital Assets Council of Financial Professionals added a new online self-study course for advisors.
July 07, 2022
SEC's First Reg BI Action Singles Out Individual AdvisorsUntil recently, how the commission would interpret and enforce the new rules was largely unknown.
July 06, 2022
Best & Worst BDs for Advisors: J.D. Power, 2022Overall satisfaction is lowest among employee advisors with the longest tenure, representing a huge attrition risk to their firms.
July 06, 2022
Stifel Broker Killed in Highland Park ShootingStephen Straus worked for 54 years as a broker, 24 of them at Stifel.
July 06, 2022
Barred Broker Who Did Merrill Stint Indicted in $100M Crypto ScamJoshua David Nicholas and two other defendants were charged with conspiracy to commit wire fraud and securities fraud.