Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Financial Nabs TD Ameritrade Exec
By Janet LevauxJudy Ricketts is now executive vice president, Operations, and will be part of the firm's team in the Carolinas.
April 20, 2020
Advisor Group Grabs Another LPL ExecThe news comes two months after Advisor Group acquired Triad and four other BDs from Ladenburg Thalmann.
April 20, 2020
FINRA Postpones In-Person Arbitration HearingsFINRA is also waiving postponement fees on hearings through Sept. 4.
April 17, 2020
RIA Valuations, Financing Options Remain Strong: EchelonThe wealth management sector remains "super healthy" despite the pandemic, managing partner Dan Seivert says.
April 16, 2020
New Jersey Delays Final Fiduciary RulemakingAn executive order from the governor delayed this and other proposals in response to the COVID-19 pandemic.
April 14, 2020
SEC Reg BI Seeks to 'Carve Up' Market for Investment Advice, XYPN SaysIt's "just the latest in a series of attempts by the SEC to exceed or misapply its regulatory authority," XYPN said.
April 14, 2020
How Advisors are Handling the Challenge of COVID-19A study from Practical Perspectives describes a deliberate calm among advisors despite some clients' worries.
April 14, 2020
RIA Channel Growth Soaring as More Advisors Break AwayMost employee advisors who want to switch firms say they would prefer to go indie, Cerulli reports.