Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Beats Estimates; Earnings & Sales Rise 7%
By Janet LevauxThe number of affiliated advisors totaled 16,763, up 574 from a year ago and 299 from the prior quarter.
April 30, 2020
10 Steps to Buying a Practice in the PandemicFor advisors in the market for another practice, now's a time of unique opportunity.
April 30, 2020
BD to Roll Out Zero-Interest M&A LoansLaSalle St. intends for the program to help advisors speed up succession planning.
April 29, 2020
Raymond James' Profits Fall 35% on COVID-19 IssuesPrivate client pretax income, though, rose 29% in the period ending March 31.
April 29, 2020
FINRA Provides Fixed Income, Funding Portal Relief in Light of COVID-19Funding portals registered with FINRA will be allowed to spread out payment of their gross income assessment.
April 29, 2020
Groups File Petition to End SEC Crackdown on 12b-1 Fees"It is time for the SEC to stop its troubling, ongoing trend of backdoor regulation," said FSI's Dale Brown.
April 29, 2020
LPL to Buy $1.5B Wealth Firm Founded by 'Buckets of Money' HostLucia Securities includes about 20 financial advisors and is based in San Diego, where it opened its doors in 1995.
April 28, 2020
FTV Capital Buys Majority Stake in DocupaceAs part of the deal, David Knoch, former head of 1st Global, becomes CEO of the cloud-focused wealthtech firm.