Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Snaps Up $16B in Wintrust Assets
By Janet LevauxThe IBD will also move about 85 advisors onto its Institution Services platforms.
February 20, 2024
Best & Worst Broker-Dealers: Q4 Earnings, 2023Six large BDs reported a drop in earnings in the final quarter of 2023.
February 20, 2024
Kestra Adds $9.5B in New AssetsThe firm welcomed 110 advisors during 2023, marking its most successful recruiting year yet, says one executive.
February 20, 2024
LPL Expands HNW Program, Drops Asset MinimumThe firm is eliminating a $5 million investable asset minimum for HNW specialty services.
February 16, 2024
TIAA to Pay $2.2M for Reg BI Violations in IRA ProgramThe firm didn't disclose that core funds were more cheaply available in the IRAs' brokerage window, regulators say.
February 16, 2024
10 Top Priorities for SEC and FINRA in 2024Here are the hottest topics among regulators this year, according to ACA Compliance Group.
February 15, 2024
Burt White: 'If We Lose the Humanity, We're Toast'Carson Group is looking to the future and has big M&A plans, the exec tells ThinkAdvisor.
February 15, 2024
Why Stifel Exec Alex David Jumped to Raymond JamesHe spent the past three years as head of Stifel Financial's independent contractor channel.