Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Goldman Sachs' RIA Custody Unit Signs Up Steward Partners
By Janet LevauxSteward, which has 180 advisors and $23 billion in assets, also will continue to work and custody assets with Raymond James.
June 15, 2021
LPL Nabs $1.2B Team From UBSThe 10-member Puzzle Wealth Solutions team has joined LPL's BD, hybrid RIA and custodial platforms.
June 15, 2021
Excited About SEC's New Ad Rule? Not So FastAdvisory firms are itching to use testimonials before their compliance departments are ready.
June 14, 2021
Merrill Exec Expects New, Shorter Advisor Program to Quadruple Success RateThe firm's new 18-month Advisor Development Program should increase its advisor success rate to 80%, Andy Sieg says.
June 14, 2021
LPL Adds $36B Credit Union-Focused ClientCUNA Mutual Group's brokerage unit includes some 550 advisors advising 300 credit unions.
June 11, 2021
Is Cold Calling Dead?"Dead and buried," recruiter Danny Sarch says. Others give cold calling a place beside more modern tactics.
June 11, 2021
Black and Hispanic Americans Face Extra Retirement Planning ChallengesSome of the challenges transcend having lower average incomes than white Americans, EBRI finds.
June 11, 2021
Ex-LPL Broker Faces Up to 20 Years in Prison for Raiding Clients' AnnuitiesThe former broker has been charged with three counts of wire fraud, one count of mail fraud and one count of aggravated identity theft.