Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Cutting 70 Jobs in San Diego
By Dinah Wisenberg BrinThe layoffs will affect mostly senior and management positions, a local paper reported.
June 18, 2025
Raymond James Adds 3 Teams With $1.8BThe teams moved to the broker-dealer from Ameriprise, Morgan Stanley and UBS.
June 16, 2025
Cetera to Commonwealth Advisors: We Know You’re Not Happy"It's clear that some firms are trying to buy their way out of the chaos ... that comes from joining them," LPL said.
June 12, 2025
Cetera Adds 'RIA and Branches' ChannelJen Hanau, a veteran of Mariner, Fidelity and Schwab, has been brought on board to lead the unit.
June 10, 2025
The No. 1 Thing Advisors Want When They Switch FirmsUnhappy advisors are quicker to move as new tech has made the process easier, recruiter Derrick Friedman says.
June 09, 2025
Osaic CEO: New Advisor Tech Tools 'Will Blow Your Mind'AI-enabled stock picking is coming, but the "Fourth Industrial Revolution" goes far beyond that, Jamie Price says.
June 09, 2025
LPL, Edward Jones Among 5 Firms Ordered to Pay $29M Over Excessive CommissionsThe firms charged nearly $19 million in unreasonably high commissions over five years, state regulators say.
June 03, 2025
Goldman, Morgan Stanley and JPMorgan Laying Off Staff in JuneHundreds of positions are being cut in New York and New Jersey.