Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
What Advisors Should Know When Their BD Gets Acquired
By Jane Wollman RusoffCommonwealth is far from the only BD caught up in the ongoing consolidation wave, recruiter Jodie Papike says.
April 18, 2025
Raymond James Launches Proprietary AI Search ToolThe tool lets advisors search the firm’s internal knowledge base and receive precise, tailored information.
April 16, 2025
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC RoundupThe fight over who qualifies as a securities dealer isn’t finished.
April 15, 2025
LPL Calls Ameriprise Data-Breach Notices 'Defamatory'"Ameriprise has sunk to a new low" by sending breach notices to clients whose advisors switched firms, LPL says.
April 11, 2025
Edward Jones Files to Launch a BankEdward Jones Bank would operate independently, with its main office in the Salt Lake City area.
April 10, 2025
Atria Co-Founders to Exit LPLCEO Doug Ketterer and COO Eugene Elias Jr. depart the firm this month and in June, respectively.
April 08, 2025
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From WidowJohn Winslow is accused of taking over $920,000 from a client and trading gold coins to conceal it.
April 08, 2025
Raymond James Adds 3 Teams With $2B in AssetsThe employee advisors joined the firm recently from Merrill, Morgan Stanley and RBC.