Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL's Atria Network to Lay Off 169 Employees
By Dinah Wisenberg BrinThe employees will be let go this summer in California, New York and Texas, state records show.
May 15, 2025
Anna Kendrick Stars in LPL's First Consumer Ad CampaignThe ads — asking "What if you could?" — are drawing praise from marketing pros.
May 14, 2025
LPL Launches Alternatives Learning HubThe platform includes content and access to continuing education credits in partnership with the CAIA Association.
May 09, 2025
Cetera Taps Ex-Equitable Exec to Lead Branch Office ModelJohn Lefferts will oversee more than 450 advisors in Cetera Investors branch offices across the United States.
May 09, 2025
LPL CEO Pledges Continuity for Commonwealth AdvisorsRich Steinmeier detailed the firm's efforts to woo them on LPL's Q1 earnings call.
May 06, 2025
FINRA Clarifies Outside Business Activities PlanBrokers will not be required to report personal transactions like trading bitcoin or buying insurance, FINRA said Monday.
May 05, 2025
Raymond James to Buy Stakes in Some Advisor PracticesThe program "addresses the challenges they face when monetizing their practice," said Emma Boston, head of strategic operations.
May 02, 2025
FINRA's New Outside Activities Proposal Is AbsurdIf this rule is enacted as is, tens of thousands of reps will drop their FINRA licenses.