Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
$1.1B RBC Team Forms a Private Wealth Group at LPL
By Melanie WaddellThe three-member advisory team came together to form Lighthouse Private Wealth.
September 24, 2025
JPMorgan Adds Millionaire Wealth Offering to Dozens of BranchesJ.P. Morgan Private Client bankers are now in 53 branches in New York, Connecticut, Florida and Texas.
September 24, 2025
Schwab Seeks to Offer More Private-Firm Investments, CEO SaysSchwab wants to give its retail investors more opportunities to take stakes in private companies.
September 24, 2025
FINRA Files to Raise Gift Limit to $300The BD regulator proposed in June an increase to $250 but was swayed by industry feedback.
September 22, 2025
Osaic CEO: 3 Ways the Firm, Advisors Need to AdaptIn the "amazing market" of advice, Jamie Price says, holistic planning, tax work and technology are focal points.
September 22, 2025
Prudential and LPL to Offer New Type of 'Income Overlay' ProductA contingent deferred annuity can create what amounts to an income spigot for an existing portfolio.
September 19, 2025
4 Things Successful Advisors Do: LPLAdvisors that exhibited even two of these behaviors grew five times faster than peers, a study found.
September 17, 2025
Ex-Citi Rep Fined, Suspended Over Outside Business ActivityMaximiliano Ramirez was a member and 50% owner of an insurance agency while at Citigroup Global Markets, FINRA says.