Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ex-Cantor Fitzgerald Broker and Olympic Medalist Charged in Capitol Riot
By Jeff BermanOnetime rep Klete Keller was charged with seven counts related to his role in the storming of the Capitol Building.
March 25, 2021
Merrill Guided Investing Slashes Minimum by 80%The cut brings Merrill Guided Investing in line with other digital advisors, including Goldman's Marcus Invest.
March 25, 2021
Edward Jones to Pay $34M in Racial Bias SuitThe suit alleged that Edward Jones denied advancement opportunities to Black advisors because of their race.
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
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.