Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Trims CEO Pay 17% in 'Difficult Year'
By Jeff BermanChairman and Chief Executive Officer Paul Reilly's total compensation fell to $11.1 million in 2020, when the firm cut 500 jobs, from $13.4 million in 2019.
January 12, 2021
Biden to Pick Gary Gensler for SEC Chief: Reuters"A knowledgeable and aggressive choice," lawyer Nick Morgan says.
January 11, 2021
$435M Team Ditches Merrill for Sanctuary WealthThe move comes as Merrill is closing its offices in the Ohio city where the team is based, Sanctuary says.
January 08, 2021
Advisor Group, Cetera Face Heavy Debt, Big RisksCredit agencies say these firms' debt loads weigh on their ratings. But the firms say it's a strategy they can manage.
January 08, 2021
Janney Drawing Steady Stream of Wirehouse RecruitsThe firm recruited 43 advisors and nearly $4 billion in assets to its Private Client Group in 2020.
January 06, 2021
Under Trump Order, SEC Warns of Investments in Chinese Military CompaniesBeginning on Jan. 11, U.S. persons will be prohibited from transacting in certain securities and derivatives of these companies.
January 05, 2021
How to Help Clients Fulfill Insurtech Resolutions in the New YearAn Aflac executive makes the case that brokers should expect insurers to offer customers a good digital experience.
January 05, 2021
Silicon Valley Bank Buys Boston Private for $900MThe deal adds $16.3 billion in wealth management and private banking assets to the Northern California firm.