Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Goldman Gives Managers a Choice: Dallas, Salt Lake City or Leave
By Todd Gillespie and Sridhar NatarajanThe push aims to drive down costs and tap a pipeline of talent emerging in these regions.
February 24, 2025
Ameriprise 'Chasing Headlines' in Client Data Dispute, LPL ArguesThe financial services firm has taken to filing serial litigation against departing advisors, the latest filing says.
February 18, 2025
How Raymond James Smashed Recruiting and Profit GoalsGiving advisors an array of affiliation options remains a critical strategy, firm executive Tash Elwyn says.
February 13, 2025
Ameriprise Files for TRO Against 3 Advisors for Taking Client Data to LPLThe advisors printed out more than 8,000 pages of data and pre-solicited clients, Ameriprise alleges.
February 11, 2025
11 Best & Worst Broker-Dealers: Q4 Earnings, 2024Each firm reported a positive jump in year-over-year results, and many topped analysts' estimates.
February 06, 2025
LPL’s New Leader Moves Past CEO Firing With Eye on GrowthThe firing of its prior CEO “didn’t turn from a crisis event to a company in crisis,” said Rich Steinmeier.
January 31, 2025
Raymond James Beats Estimates, Stops Reporting Quarterly Advisor HeadcountIndustry watchers say they don’t see a downside to the firm's new approach to disclosing this data.
January 29, 2025
Commonwealth in Talks to Sell Minority Stake: ReportThe firm, led by Wayne Bloom, will likely attract strong private equity interest, said one industry watcher.