Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
16 Highest-Paid CEOs in Financial Services
By Michael S. FischerAverage CEO compensation surged to $23.2 million in 2021, with many in the financial industry earning significantly more.
October 18, 2022
3 Steps for Going Indie in a Bear MarketSome advisors may postpone the switch, but that can mean giving up higher net payouts and better tax treatment.
October 17, 2022
Top 5 Q3 Trends at Merrill Wealth ManagementRecruiting is strong, and more clients are staying even when advisors leave.
October 17, 2022
Credit Suisse Said to Begin Sale of U.S. Asset Management ArmIt shares have fallen more than 48% this year, giving it a market value of about $12 billion.
October 17, 2022
Goldman to Shake Up Wealth, Other Units in Latest OverhaulThe Wall Street giant plans to once again combine its asset management and private wealth businesses, say people familiar with the matter.
October 13, 2022
Raymond James Picks Up $2.9B Baird TeamReston, Virginia-based Wise Investor Group joined Raymond James & Associates, the firm's employee advisor channel.
October 12, 2022
SEC Votes to Modernize How BDs Can Preserve Electronic RecordsBDs will no longer be required to preserve records exclusively in "write once, read many" format.
October 12, 2022
Ex-RIA Comptroller in Father-Daughter Ponzi Scheme Gets 6-Year SentenceThe former comptroller's father, an ex-Securities America broker, was previously sentenced to 13 years in prison.