Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisor Group Hires Ex-Schwab Exec to Lead Digital Solutions
By Jeff BermanPeter Clemson is appointed to the newly created position to lead the firm's continued buildout of digital solutions.
January 13, 2021
Raymond James Trims CEO Pay 17% in 'Difficult Year'Chairman and Chief Executive Officer Paul Reilly's total compensation fell to $11.1 million in 2020, when the firm cut 500 jobs, from $13.4 million in 2019.
January 13, 2021
PPP Borrowers Should Act Fast, Expect More Scrutiny: AICPA"The SBA is doing more vetting for potential fraud," said Erik Asgeirsson, president and CEO of CPA.com.
January 13, 2021
Cetera Buys $4B Affiliated Firm"Cetera is a ready buyer" of advisors' businesses, as well as large enterprises and super OSJs, says CEO Adam Antoniades.
January 12, 2021
Biden to Pick Gary Gensler for SEC Chief: Reuters"A knowledgeable and aggressive choice," lawyer Nick Morgan says.
January 11, 2021
$435M Team Ditches Merrill for Sanctuary WealthThe move comes as Merrill is closing its offices in the Ohio city where the team is based, Sanctuary says.
January 08, 2021
Advisor Group, Cetera Face Heavy Debt, Big RisksCredit agencies say these firms' debt loads weigh on their ratings. But the firms say it's a strategy they can manage.
January 08, 2021
Janney Drawing Steady Stream of Wirehouse RecruitsThe firm recruited 43 advisors and nearly $4 billion in assets to its Private Client Group in 2020.