Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Supreme Court Rebuffs Challenge to FINRA's Authority
By Greg StohrThe justices turned away an appeal from Alpine Securities, allowing a FINRA case against the BD to proceed.
May 27, 2025
FSI Launches Next-Gen Career WebsiteFinancialCareers.org is an online career center that connects qualified job seekers with firms.
May 23, 2025
LPL's Atria Network to Lay Off 169 EmployeesThe employees will be let go this summer in California, New York and Texas, state records show.
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.