Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How to Beat Zoom Burnout, Compassion Fatigue
By Janet LevauxMaria Considine King of Commonwealth explains how to make virtual workdays more manageable and shares lessons from hosting the Summit for Women Advisors.
July 29, 2020
DOL Abandons Its Statutory Mission to Protect Retirement SaversIn deferring to the weak and ineffective SEC standard, the Labor Department is setting aside its much stronger mandate.
July 29, 2020
LPL to Add $20B Bank Wealth ProgramM&T Securities includes some 170 financial advisors and will be LPL's biggest institutional client to date.
July 28, 2020
Why Big Endowments and Foundations Beat Small Ones in Q1BNY Mellon found that while smaller endowments and foundations did better in 2019, performance lagged in 2020. Here's why.
July 27, 2020
SEC Slams Ex-Broker for Misappropriating $1.15M of Seniors' FundsThe former American Portfolios Financial Services rep deposited clients' money into his own account rather than invest it, the regulator said.
July 24, 2020
$280M Team Exits UBS to Join Raymond JamesThe bilingual group, originally from Venezuela, will join Alex. Brown's Miami office.
July 23, 2020
$445M Wells Fargo Reps Move to StifelThe four advisors join the firm in South Dakota and Washington.
July 21, 2020
Kestra Taps Stephen Langlois as PresidentThe eMoney, Fidelity and LPL veteran will lead broker-dealer and RIA operations, as well as innovation for the firm's platform.