Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL’s New Leader Moves Past CEO Firing With Eye on Growth
By Paige SmithThe firing of its prior CEO “didn’t turn from a crisis event to a company in crisis,” said Rich Steinmeier.
January 27, 2025
LPL Recruits $1.3B Father-Son Duo From UBSWilliam “Bill” Bruen Jr. and Andrew Bruen have joined the independent broker-dealer in New Jersey.
January 27, 2025
Raymond James Gets Restraining Order Against Ex-Intern Accused of DefamationThe court barred the former intern from going within 100 yards of firm offices and two employees.
January 27, 2025
Citi Reworks Its Private Bank as Head Leaves Firm After 18 YearsWith Ida Liu's departure, the unit's four regional heads will report to Andy Sieg, head of Citi's wealth business.
January 24, 2025
Janney Montgomery Scott Names New CEOTony Miller will also keep his current role as president, a position he has held since 2023.
January 17, 2025
Goldman Rakes In Record Wealth RevenueTotal wealth management client assets stood at around $1.6 trillion at year-end.
January 17, 2025
SEC Fines LPL $18M for AML ViolationsLPL failed to close or restrict thousands of prohibited high-risk accounts, according to the SEC.
January 16, 2025
New Raymond James Program Seeks to Support Tampa Bay EducationThe firm has committed $7.5 million to nonprofits that support success within and outside the classroom.