Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wells Fargo Names New Head of Indie Advisor Group
By Janet LevauxJohn Tyers most recently was the chief growth officer for the fintech firm AdvisorEngine.
July 28, 2021
Robinhood Under FINRA Investigation, AgainThe firm received a FINRA investigative request related to its CEO and co-founder not being registered.
July 27, 2021
'Sketch Guy' Carl Richards Now Has a 'Secret Society' for AdvisorsThe "Behavior Gap" author tells ThinkAdvisor how he's helping advisors thrive in the face of "irreducible uncertainty."
July 26, 2021
JPMorgan to Hire 550 Brokers, More Than Doubling Its Current BaseThe firm also grabbed new leaders from Goldman and Merrill.
July 26, 2021
Wells Fargo Asset Management to Change Name, CEOThe changes are part of GTCR and Reverence Capital Partners' $2.1 billion purchase of the business.
July 23, 2021
JPMorgan Makes Crypto Available to All Wealth Clients: ReportThe firm now allows advisors to take buy and sell orders for five crypto funds, according to Business Insider.
July 22, 2021
FINRA: Ex-Wells Fargo Rep Applied for SBA Loan He Wasn't Entitled ToThe broker applied for an economic injury disaster loan while ignoring a major requirement: He didn't run a small business.
July 22, 2021
Onramp Invest Kicks Off Crypto Trading for Advisors: Tech RoundupAlso, ProNvest introduces a retirement fintech platform.