Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
12 Best & Worst Broker-Dealers: Q2 Earnings, 2021
By Janet LevauxAll 12 broker-dealers reported higher earnings than a year ago, when many of them set aside reserves for loan losses.
August 10, 2021
Wells Fargo Names Steve Black Chairman as Noski Steps DownCharles Noski became chairman last year after Betsy Duke resigned ahead of a congressional hearing into a series of scandals at the bank.
August 09, 2021
LPL Testing Paraplanning, Other Advisor ProgramsThe firm is learning from innovators such as Peloton and Amazon to offer its advisors more digitally based services.
August 06, 2021
LPL to Add SMAs to Model Wealth PlatformThe enhancement lets advisors combine multiple investment types in one account and will be rolled out to all advisors over the next few months.
August 06, 2021
10 Worst Financial Advisors in America to Date in 2021The latest advisors and brokers who "qualified" so far include alleged scammers, an alleged batterer and a registered sex offender.
August 05, 2021
Onramp Invest Raises $6M: Tech RoundupAlso, Susan Theder, Advisor Group chief marketing officer, has joined the board of directors of regtech firm ComplySci.
August 04, 2021
LPL Boots Rep Who Allegedly Refused to Hire Black ApplicantsThe firm ended Eileen Cure's affiliation after a viral video accused her of making racist comments in a Skype message.
August 04, 2021
LPL to Invest More Than $1.3B in Tech, Other Key Areas This YearOne major area of focus is offering its advisors more personalized solutions, CEO Dan Arnold says at Focus 2021.