Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL to Invest More Than $1.3B in Tech, Other Key Areas This Year
By Jeff BermanOne major area of focus is offering its advisors more personalized solutions, CEO Dan Arnold says at Focus 2021.
August 03, 2021
LPL Nabs JPMorgan Exec to Lead Advisor ServicesCorey Staten will lead the firm's Service Center, Technical Support Help Desk, New Advisor Care Team and related efforts.
August 02, 2021
LPL Drops Account Minimums on Some PortfoliosThe move affects its advisory platform, which includes six multi-manager funds.
August 02, 2021
FINRA Gets a Green Light to Crack Down on High-Risk Firms, BrokersThe proposed rule change, approved by the SEC, would place new obligations on FINRA member firms with a long record of misconduct.
August 02, 2021
Avantax Scoops Up $1.1B RIAWhen the deal closes, the RIA's three partners will become financial planning consultants with Avantax Planning Partners.
July 30, 2021
Advisor Group, Cetera and Pershing Tackle 2 Big Advisory MythsDespite the widely held belief to the contrary, not all advisors at IBDs are rushing to become RIAs, executives from the firms say.
July 30, 2021
LPL Tops $1T in Assets and 19,000 Advisors: Q2 EarningsThe number of net new advisors was 1,442, including over 900 from Waddell & Reed and 200-plus from M&T Bank.
July 29, 2021
Wells Fargo Names New Head of Indie Advisor GroupJohn Tyers most recently was the chief growth officer for the fintech firm AdvisorEngine.