Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fidelity to Hire 4,000, Including Advisors, in First Half of 2023
By Jeff BermanThe announcement follows a year in which it hired more than 17,000 associates.
February 16, 2023
Orion Selects Docupace for Automation: Tech RoundupAlso, Gentreo's next-generation estate planning software was among the pitches at Morgan Stanley's Demo Day.
February 16, 2023
Commonwealth Sets Recruiting Record in 2022The firm onboarded 270 advisors with a record-breaking $11.24 billion in client assets, it says.
February 15, 2023
Merrill Launches Virtual Video Studio for AdvisorsAdvisors can use the new tool to create content and connect with clients and prospects at scale.
February 15, 2023
Wells Fargo Advisors Cuts Divisions to 4 From 7The reorganization will help the firm execute more consistently and "power our growth," says WFA head Sol Gindi.
February 14, 2023
Next Hearing Set for LPL Network Firm Employee Charged in Double MurderThe next hearing for Ramy Fahim has been scheduled for June 2.
February 13, 2023
FINRA Fines Long Island BD Over Reg BIThis is FINRA's third Reg BI-related enforcement action this year.
February 10, 2023
Ex-Broker Convicted of Aiding ISISRuslan Maratovich Asainov left financial services, traveled to Syria and became a sniper, according to the DOJ.