Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cetera Closes on Purchase of Securian's Wealth Business
By Jeff BermanMore than 91% of the invited Securian advisors and other financial professionals opted to join Cetera, it says.
August 08, 2023
Former LPL, Raymond James Reps Slammed by FINRA for Falsifying DocumentsTwo ex-reps forged clients' signatures, and one provided falsified checks and bank statements to regulators, FINRA said.
August 07, 2023
The SEC's New AI Plan Expands Reg BI — and MoreIndustry attorneys say the plan would impose potentially burdensome conflict-of-interest requirements on BDs and advisors.
August 05, 2023
LPL Puts AI Center Stage at Yearly EventExecutives are emphasizing new AI-powered tools that aim to serve as an advisor's "co-pilot."
August 03, 2023
4 Things TD Ameritrade Advisors Should Do Before Schwab ConversionHere's what advisors should do before the final move over Labor Day weekend, according to industry experts.
August 03, 2023
Missing Goldman Sachs Analyst Confirmed Dead by PoliceJohn Castic, 27, was last seen Saturday after attending a concert in Brooklyn, a New York Police Department spokesperson said.
August 03, 2023
JPMorgan, Morgan Stanley Face Regulatory Scrutiny Over AI UseMassachusetts' top securities regulator says he's concerned about "the growing and potentially unchecked use" of AI.
August 02, 2023
16 Assumptions That Cause Advisors to Lose ClientsGood clients rarely just leave; they hollow out the relationship as their needs go unmet.