Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Nabs 11 Reps From Wirehouses, Other Rivals
By Jeff BermanAdvisors managing over $1.2 billion have joined affiliate Crux Wealth Advisors and the firm's Alex. Brown division.
March 30, 2021
Ameriprise Adds $7B Credit Union to Its BD PlatformThe credit union established a wealth management program with five financial advisors.
March 30, 2021
Ex-Cantor Fitzgerald Broker and Olympic Medalist Charged in Capitol RiotOnetime rep Klete Keller was charged with seven counts related to his role in the storming of the Capitol Building.
March 29, 2021
10 Worst Financial Advisors in America: 2020Last year's worst advisors allegedly ran Ponzi schemes, stole from the elderly and veterans, and one was even charged with murdering a client.
March 29, 2021
Supreme Court Signals Narrow Ruling Likely on Goldman Investor SuitThe clash is the court's first over shareholder lawsuits since former President Donald Trump appointed three justices and created a 6-3 conservative majority.
March 25, 2021
Merrill Guided Investing Slashes Minimum by 80%The cut brings Merrill Guided Investing in line with other digital advisors, including Goldman's Marcus Invest.
March 25, 2021
Edward Jones to Pay $34M in Racial Bias SuitThe suit alleged that Edward Jones denied advancement opportunities to Black advisors because of their race.
March 24, 2021
How a 35-Year-Old CEO 'Future-Proofed' Her Father's FirmCammy Smith tells ThinkAdvisor about her journey from pre-med student to financial advisor to consultant and chief executive.