Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cetera Adds $2.4B RIA From MassMutual
By Jeff BermanTotus Wealth Advisors has offices in Houston and the Woodlands, Texas, with plans to expand.
May 06, 2021
Weber Says UBS Should Consider a Chairwoman After He LeavesThe global investment bank is planning to appoint the successor to Weber, 64, at its 2022 general meeting.
May 05, 2021
Raymond James Nabs $1.08B Advisor Team From UBSThe Silver Liberatore Group joins Raymond James in Deer Park, Illinois.
May 05, 2021
Why the Advice Industry Isn't Paperless Yet: Schwab Exec"Some of the obstacles" that remain "sit with us, the custodian," a Digital Advisor Solutions exec says.
May 04, 2021
Dynasty to Make Minority Investments in Network Partner RIAsThe company also added Rebecca Zeitels Alcalay, GF Investments vice president, to its board.
May 03, 2021
Advisor Group Seeks at Least $900K From Venerable in LawsuitThe broker-dealer alleges the variable annuity firm is guilty of breaching the terms of a marketing agreement.
May 03, 2021
Sanctuary Wealth Scores 'Biggest Win to Date' in Recruiting $1.5B Merrill TeamQuorum Private Wealth had operated as the Barry & Milligan Group at Merrill.
May 03, 2021
LPL's Advisor Headcount Set to Top 18,500The Waddell & Reed deal, which closed Friday, will likely make LPL the second-largest BD in terms of advisor force.