Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cetera to Buy Securian Financial's Wealth Unit
By Janet LevauxThe deal includes 1,000 financial professionals and 30 firms working with a total of $72.2 billion in assets.
January 24, 2023
How Secure 2.0 Is Shaping Advice to Clients: Advisors' AdviceThe new law is figuring into planning conversations in a variety of ways, advisors told us.
January 23, 2023
Debate: Should Non-Compete Agreements Be Banned?Our experts share their viewpoints on whether the FTC's proposed ban would be beneficial to companies and workers.
January 20, 2023
JPMorgan Leaves CEO Dimon's Pay at $34.5M for 2022The firm's profits fell by 22% last year and its stock dropped 15%, the worst yearly performance in over a decade.
January 19, 2023
Orion Hires Industry Veteran as New EVP of Sales: Tech RoundupAlso, Fidelity acquired software firm Shoobx; Broadridge extends its digital wealth platform partnership with IGM Financial.
January 19, 2023
This Advisor Team Left a Big BD to Upgrade Its Retirement PlanningBeing an independent RIA allows Michael Leverty to do the sophisticated planning his executive clients need, he says.
January 19, 2023
Commonwealth Picks Up $1B Team From Edward JonesCedarwood Financial Partners has five offices in Texas and New York.
January 18, 2023
FINRA 'Ready to Act' if SEC Finalizes Best-Execution Rules: CEOEnsuring regulatory clarity on evolving best execution standards is a top priority for 2023, FINRA's Robert Cook says.