Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Says It's on Target for 90% Retention as It Closes Commonwealth Deal
By Janet LevauxAbout 80 advisors have moved from Commonwealth to other firms since April, according to data compiled by AdvizorPro.
July 21, 2025
Advisor and Retail Channels Driving Growth: SchwabCEO Rick Wurster made his comments after the firm posted stronger-than-estimated second-quarter earnings.
July 21, 2025
Schwab Expands Overnight TradingSchwab added popular ETFs to its overnight lineup, available through thinkorswim.
July 17, 2025
Cetera Launches Suite of AI-Powered ToolsThe firm says IntelligenceEngine combines advanced analytics, planning technology and client engagement tools.
July 16, 2025
Best & Worst BDs for Financial Advisor Satisfaction: J.D. Power, 2025Younger advisors want more support from their firms, the research group finds.
July 14, 2025
Stifel Advisor Linked to $132M Arb Award Has Left the FirmArbitration awards and judgments involving Chuck Roberts exceed $166 million, his FINRA BrokerCheck record shows.
July 14, 2025
American Portfolios to Pay $1.75M for Overbilling, False Compliance ReviewsAmerican Portfolios overbilled on alts, failed to disclose payments to an affiliate BD and backdated compliance reviews, the SEC said.
July 11, 2025
Why the Number of BDs Could Drop 20% in 5 Years"Clients, financial advisors, firms and the media all seem to favor the RIA model," consulting exec Chip Roame says.