Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Moves to Boost Credit Facility to $1B, Refinance $900M Debt
By Janet LevauxThe aggregate amount of LPL's outstanding debt, though, "would be substantially unchanged as a result of the transaction," the firm said.
March 03, 2021
FINRA Bars Ex-LPL Rep Accused of Investing Client's Money in Ponzi SchemeThe former broker allegedly moved a client's IRA to a different administrator and used forged documentation to invest the money.
March 01, 2021
Massachusetts BD to Pay $450K Over 12b-1 FeesThe BD also used its principal trading account to engage in self-dealing, the SEC says.
February 25, 2021
Atria Wealth Solutions Teams With Riskalyze to Help BDs: Tech RoundupAlso, Fidelity's eMoney Advisor expands financial wellness initiatives.
February 24, 2021
Ameriprise Introduces Business Development Program for Next-Gen AdvisorsThe new Associate Financial Advisor Business Development Program was designed to prepare licensed Ameriprise advisors for long-term success, it says.
February 22, 2021
LPL's Kalbaugh Explains Why Nice Guys Finish FirstThe executive, set to retire next month, highlights lessons learned over the past 14 years at LPL and his 32 years in the business.
February 22, 2021
LPL Addresses Black Advisor Issues in New Video SeriesThe content, available online, features six Black LPL advisors tackling diversity problems they and Black investors face.
February 17, 2021
LPL Unveils New Brand IdentityThe firm has also introduced a new communications strategy, telling advisors: "Your greatness is our goal."