Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Navigating the Shifting Broker-Dealer Landscape: What Advisors Seek
By Sponsored by United PlannersAmid industry consolidation and misaligned interests, advisors prioritize stability, control, culture, and client focus in their BD partnerships.
May 15, 2025
How Raymond James Spends $1B a Year on Tech, With Advisors in MindAll Raymond James technology is designed in collaboration with advisors, says Andy Zolper, chief information officer.
May 15, 2025
11 Best & Worst Broker-Dealers: Q1 Earnings, 2025Two of the firms reported earnings declines from a year ago — one tied to a large regulatory payment.
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.