Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Supreme Court Signals Narrow Ruling Likely on Goldman Investor Suit
By Greg Stohr and Robert SchmidtThe clash is the court's first over shareholder lawsuits since former President Donald Trump appointed three justices and created a 6-3 conservative majority.
March 24, 2021
How a 35-Year-Old CEO 'Future-Proofed' Her Father's FirmCammy Smith tells ThinkAdvisor about her journey from pre-med student to financial advisor to consultant and chief executive.
March 24, 2021
LPL Trims CEO's 2020 CompensationOnly one LPL exec received a base salary increase in 2020.
March 24, 2021
Introducing ThinkAdvisor's New Awards Program: The LUMINARIESJoin us in celebrating top advisors, industry executives, teams, RIAs, BDs and asset managers. Nominations are open now.
March 24, 2021
How Advisors Are Finding Unexpected Upsides to Zoom CallsFor years, remote technology had been there for the taking. COVID-19 simply pushed us to fully seize its potential.
March 23, 2021
Commonwealth's New Wealth Exec Tells Advisors: We're Here for YouThe firm offers services, like advanced tax and estate planning, to help advisors overcome challenges, Karen McColl tells ThinkAdvisor.
March 23, 2021
The Curious Plight of the Independent Broker-DealerChange is afoot in the IBD space, and "RIA-ifying" appears to be the chosen path.
March 22, 2021
12 Best & Worst Broker-Dealers: Q4 Earnings, 2020Eight out of 12 of these big firms reported year-over-year earnings growth.