Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Kestra Adds $9.5B in New Assets
By John ManganaroThe firm welcomed 110 advisors during 2023, marking its most successful recruiting year yet, says one executive.
February 16, 2024
10 Top Priorities for SEC and FINRA in 2024Here are the hottest topics among regulators this year, according to ACA Compliance Group.
February 15, 2024
Burt White: 'If We Lose the Humanity, We're Toast'Carson Group is looking to the future and has big M&A plans, the exec tells ThinkAdvisor.
February 15, 2024
Why Stifel Exec Alex David Jumped to Raymond JamesHe spent the past three years as head of Stifel Financial's independent contractor channel.
February 13, 2024
LPL to Buy Atria Wealth Solutions for $805MThe move could add about 2,400 advisors and $100 billion of brokerage and advisory assets to the IBD.
February 09, 2024
New FINRA Arbitrator Selection Rules Start March 4The changes are intended to make the arbitrator selection process more transparent.
February 09, 2024
SEC Hits 16 Firms With $81M in Texting FinesThe firms agreed to pay the SEC combined civil penalties of more than $81 million.
February 07, 2024
Advisors Tap Into Personalized Content Marketing, With AI Help: StudyNext-generation technology can contribute to meeting clients' high-touch expectations, Broadridge research found.