Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Says Tech Update Makes It 'Easier to Turn Prospects Into Clients'
By Jeff BermanThe independent broker-dealer explains how a new integration has improved its ClientWorks advisor platform.
February 14, 2020
Advisor Group-Ladenburg Merger Is Final. What Will Happen to the BDs?The new firm will have over 11,000 advisors and nine BDs. Is consolidation in the offing?
February 13, 2020
SEC Issues Updated FAQs on Reg BI, Form CRSThe FAQs address accredited investors, dual registrants and affiliate relationships.
February 13, 2020
Stifel Nabs $332M Merrill Reps in TexasMeanwhile, a Woodbury Financial Services affiliate adds a father-daughter team with $115 million in North Carolina.
February 12, 2020
Banks, Financial Services Must Do Better on Diversity: House ReportAlthough the business has made strides in diversity hiring, it's not enough, says the House Financial Services Committee.
February 12, 2020
Ameriprise Adds Merrill Team With 3 RepsThe Barbaro, DeMartino & Tucker Group joins the firm in New Jersey with about $194 million in assets.
February 12, 2020
FINRA Seeks to Close '$1 Expungement Case' LoopholeThe regulator would charge a minimum filing fee for expungement cases. But industry attorneys aren't impressed.
February 11, 2020
LPL Nabs $650M Cetera Team With 15 AdvisorsSynergy Wealth Alliance is based near Orlando and plans to double in size every three years.