Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
$800M Texas Team Splits From Kestra, Joins LPL
By Jeff BermanFort Worth-based Gus Bates Insurance & Investments joins LPL's BD, hybrid RIA and custodial platforms.
April 14, 2021
Wells Fargo's Profits Soar, but Not for Wealth UnitOverall, the bank's advisor headcount dropped by 1,087, or 8%, from a year ago.
April 14, 2021
Most JPMorgan, Stifel Employees to Return to OfficesIn recent letters to shareholders, the firms' CEOs stressed the importance of employees shifting away from remote work.
April 13, 2021
Ex-Schwab Client Arrested for Refusing to Return $1.2M Transferred by MistakeThe ex-client was charged with theft, bank fraud and illegal transmission of monetary funds, according to a news report.
April 13, 2021
Want to Delay Social Security? Buy an Annuity FirstEx-Social Security official Jason Fichtner gives ThinkAdvisor a suggestion for retiring clients who want to maximize their benefits.
April 12, 2021
Edward Jones Sued by Ex-Rep Over Sexual HarassmentA former advisor at the firm says a manager pressured her into "into a forced sexual encounter," according to court documents.
April 12, 2021
RIA Integrated Partners Added Over $600M in Assets During Q1Advisor Mark Mitamura and his team are among the latest recruits added to RIA Integrated Partners.
April 12, 2021
$650M Merrill Team Makes a Break for Independence With LPLThe South Carolina-based advisors formed the independent firm NorthEnd Private Wealth.