Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cetera Taps Ex-Equitable Exec to Lead Branch Office Model
By John ManganaroJohn Lefferts will oversee more than 450 advisors in Cetera Investors branch offices across the United States.
May 05, 2025
Raymond James to Buy Stakes in Some Advisor PracticesThe program "addresses the challenges they face when monetizing their practice," said Emma Boston, head of strategic operations.
May 02, 2025
FINRA's New Outside Activities Proposal Is AbsurdIf this rule is enacted as is, tens of thousands of reps will drop their FINRA licenses.
May 01, 2025
What the LPL-Commonwealth Deal Means for AdvisorsOn May 21, an expert panel will dive into its effects on advisor movement, compensation, services and more.
April 30, 2025
Edward Jones Adds Alt Investments, Advanced Planning for HNW ClientsThe firm entered into a relationship with CAIS, an alternative investment technology platform for financial advisors.
April 25, 2025
Ameriprise Closes Window on Advisor RecruitingVolatility helped increase the appeal of its technology and strength in the first quarter, the company noted.
April 24, 2025
Advisor Who Left for Raymond James Breached Contract, TD AllegesAbout 30 clients with $48 million in assets left after Adam Bracy's departure, the bank says.
April 24, 2025
What to Make of LPL's Loan Forgiveness Pledge for Commonwealth AdvisorsThe move was labeled an "interesting concession from LPL" by advisor, author and speaker Michael Kitces.