Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How the CFP Board Is Advancing the Profession
By Richard SalmenIt's time to educate CFP professionals, their firms and the public on the new Code and Standards.
July 10, 2018
Carson Group Adds $613M From New Partners in Q2It also says it could bring on another $3.6 billion in assets by year-end, pushing its AUM to $9 billion.
July 09, 2018
LPL Nabs Merrill Advisor, Author in Silicon ValleyThe development follows the recruiting of both a wirehouse team in New York and a former wirehouse recruiting executive.
July 06, 2018
Argent Financial to Add AmeriTrust CompaniesThe merger should put Argent's total client assets at $19 billion and its number of professionals at over 270 in the South.
July 05, 2018
FINRA to Take Over Review of Public Records for Broker HiresBeginning July 9, FINRA will verify information provided by candidates for brokerage or investment advisor jobs, saving BDs time and money.
July 05, 2018
Credit Suisse to Pay SEC $30M for Corruption ChargesThis development comes about one month after Credit Suisse agreed to pay a $47 million criminal penalty to the U.S. Department of Justice.
July 04, 2018
Goldman Sachs Taps New Private Wealth Chief in San Francisco: Recruiting RoundupMeanwhile, a group affiliated with HD Vest shares details about its expansion plans in Oklahoma.
July 03, 2018
Schwab Settles SEC Suit on Reporting FailureSchwab was charged with failing to file reports on suspicious transactions by 37 independent investment advisors.