Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
CFP Board Hikes Certification Cost, Adds New CE Fee
By Melanie WaddellThe new fee on CE providers will raise costs for CFPs, Michael Kitces says.
April 19, 2022
LPL Launches Paraplanning Services for Its AdvisorsThe firm's also testing tax and HNW services, says Aneri Jambusaria, EVP of its Planning & Advice Services.
April 19, 2022
Ed Slott: IRS Secure Act Regs Are 'Final Nail in the Coffin' for IRAs in Estate Plans"RIP IRAs as a long-term planning vehicle," Slott tells ThinkAdvisor.
April 18, 2022
Merrill, Private Bank Profits Jump 28%; Advisor Headcount DipsThe firm's wealth management unit ended Q1 with 1.3% fewer advisors than the previous quarter.
April 15, 2022
Barred Broker's Probation Revoked After Unauthorized Caribbean TripThe former Raymond James and Alliance Global Partners rep had been charged with defrauding at least 100 clients.
April 15, 2022
Ex-UBS Rep Who Spent Client Money on Girlfriends' Gifts Pleads GuiltyThe former broker could spend up to 60 years in prison.
April 15, 2022
Morgan Stanley, Citi Emerge as Winners of Earnings BlitzThe banks reported strong results in fixed income and equities trading that beats analysts' forecasts for revenue and earnings.
April 14, 2022
Goldman Sachs, Morgan Stanley Face Off on Musk Bid for TwitterMorgan Stanley is advising Musk on the $43 billion offer, while Twitter has enlisted the help of Goldman Sachs.