Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Picks Up $1.45B Advisor Team From Wells Fargo
By Jeff BermanCarnegie Private Wealth is the 29th team to join LPL Strategic Wealth Services since it launched in April 2020.
March 01, 2023
Ex-Vanguard Broker Charged With Killing Girlfriend Is Suspended by CFP BoardJohn Poulos of Texas was charged with femicide and obstruction of justice in Bogota, Colombia.
February 28, 2023
12 Best & Worst Broker-Dealers: Q4 Earnings, 2022One large BD saw profits drop over 65% from a year ago, while another produced a jump of nearly 200%.
February 28, 2023
Merrill Names New Private Wealth HeadLindsay Hans will succeed Don Plaus as head of the firm's Private Wealth Management, International and Institutional.
February 28, 2023
FINRA Provides Update on 'Finfluencers' CrackdownNew guidance illustrates some "initial themes" from the ongoing targeted exam.
February 23, 2023
Orion Launches Advisor Academy: Tech RoundupAlso, Dynasty Financial Partners selected BridgeFT's WealthTech API to power its integrated wealth technology,
February 22, 2023
SEC Calls for Proceedings Against Imprisoned Ex-BrokerThe former broker was convicted of defrauding the oldest Black-owned insurance company in the U.S.
February 22, 2023
Avantax Reports Recruiting Surge in 2022The tax-focused wealth firm, formerly Blucora, said recruited assets rose 79% from 2021.