Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
What the LPL-Commonwealth Deal Means for Advisors
By Janet LevauxOn May 21, an expert panel will dive into its effects on advisor movement, compensation, services and more.
April 24, 2025
Advisor Who Left for Raymond James Breached Contract, TD AllegesAbout 30 clients with $48 million in assets left after Adam Bracy's departure, the bank says.
April 24, 2025
What to Make of LPL’s Loan Forgiveness Pledge for Commonwealth AdvisorsThe move was labeled an "interesting concession from LPL" by advisor, author and speaker Michael Kitces.
April 22, 2025
What Advisors Should Know When Their BD Gets AcquiredCommonwealth is far from the only BD caught up in the ongoing consolidation wave, recruiter Jodie Papike says.
April 21, 2025
Ex-Securities America CEO Sues OsaicJim Nagengast is claiming breach of contract related to his departure from the financial services firm in 2024.
April 18, 2025
Schwab-TD Ameritrade Antitrust Case Settled, Notification Process UnderwayOver 25.5 million customers were to receive settlement notifications, a court document indicates.
April 18, 2025
Raymond James Launches Proprietary AI Search ToolThe tool lets advisors search the firm’s internal knowledge base and receive precise, tailored information.
April 16, 2025
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC RoundupThe fight over who qualifies as a securities dealer isn’t finished.