Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Picks Up Portfolio Tool Maker for $12M
By Janet LevauxThe deal to acquire Blaze Portfolios comes nearly two years after its $28 million purchase of proposal-generator AdvisoryWorld.
October 26, 2020
Fidelity Expands Reach of Its Model PortfoliosFidelity Model Portfolios are now available to advisors on 16 platforms.
October 23, 2020
Election Spending in the Advisory Industry: By the NumbersHere's how much three advisor-focused PACs gave to candidates in this record-breaking election cycle.
October 23, 2020
FINRA Amends Sanction Guidelines to Protect Older AdultsThe revision, effective immediately, "is consistent with FINRA's view that certain investors may need additional protections," says attorney Brian Rubin.
October 22, 2020
UBS Expands Workplace Wealth Solutions: Tech RoundupAlso, LaSalle St. is the latest firm to launch a financial planning platform.
October 22, 2020
$1.1B Merrill Team Jumps to JPMorganThe four-member Campbell Group made the move in San Francisco and is led by Gwen Campbell.
October 21, 2020
Janney Reports Big Jump in Advisors' Use of Social Media, TextsThe BD says virtual client communication via Hearsay Systems' compliant tools is up significantly during the pandemic.
October 20, 2020
Ex-SagePoint Rep Invested Clients' Funds in Sham Pension SchemeThe former broker invested $210,000 of his client's money in private securities transactions without his firm's approval, FINRA says.