Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Nabs $800M Wells Fargo Team in Salt Lake City
By Janet LevauxMeanwhile, Stifel says it added a Wells Fargo rep and an advisor duo from UBS with a combined $213 million.
January 10, 2020
LPL's ClientWorks Adds Envestnet MoneyGuideMoneyGuide becomes the latest tech solution to integrate with LPL's platform.
January 09, 2020
Fidelity Launches First Full-Service HSA for AdvisorsFidelity's HSA for advisors and other financial intermediaries is integrated with Wealthscape, its advisor technology platform.
January 09, 2020
LPL Recruits Black Advisor Team From Northwestern MutualMeanwhile, RIA Mercer Global Advisors is buying CCP Inc., a Chicago-based group with $140 million in client assets.
January 09, 2020
Beware California's New Data Privacy LawIt may affect you if you have clients there, and other states may follow suit.
January 08, 2020
National Planning Corp. Owes Client $2.6MThe client accused a broker of investing her assets in fraudulent and unsuitable vehicles to generate commissions.
January 08, 2020
T3 Events Now Have Code of ConductThe news from Technology Tools for Today comes three months after Ken Fisher was called out for lewd comments at an event.
January 08, 2020
Defunct BD Sues FINRABlackBook Capital and its former president accuse the regulator of bias and libel.