Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL to Buy $1.5B Wealth Firm Founded by 'Buckets of Money' Host
By Janet LevauxLucia Securities includes about 20 financial advisors and is based in San Diego, where it opened its doors in 1995.
April 28, 2020
The 2020 IA25 Winners: Voices in a Crisis"Clients will remember how you responded during this critical time. You need to let them know you are there for them," said Ed Slott.
April 27, 2020
FINRA, NASAA to Launch Online Testing ServicePrometric, which administers FINRA exams, will supervise exams via the computer camera and other web tools.
April 27, 2020
Cambridge to Welcome 27 Remote InternsThe yearly 10-week paid program for college students, The Next Step, began in 2012.
April 27, 2020
SEC Clarifies When Use of 'Advisor' Violates Reg BIThe SEC recently updated its Reg BI FAQ guidance.
April 27, 2020
LPL Adds $300M Wells Fargo Team to Breakaway ChannelThe group comes on board using the independent broker-dealer's new affiliation model for wirehouse reps.
April 27, 2020
How to Best Lead Your Advisory Firm TodayDuring the COVID-19 crisis, advisors should assess what "friction" their practices can withstand, says David DeVoe.
April 27, 2020
Wirehouses, IBDs Share Updates on Comp Policies, Services & Exec HiresWall Street and Main Street broker-dealers are moving in different directions in response to the coronavirus pandemic and their own strategic plans.