Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
February 11, 2025
11 Best & Worst Broker-Dealers: Q4 Earnings, 2024Each firm reported a positive jump in year-over-year results, and many topped analysts' estimates.
February 06, 2025
LPL’s New Leader Moves Past CEO Firing With Eye on GrowthThe firing of its prior CEO “didn’t turn from a crisis event to a company in crisis,” said Rich Steinmeier.
January 31, 2025
Raymond James Beats Estimates, Stops Reporting Quarterly Advisor HeadcountIndustry watchers say they don’t see a downside to the firm's new approach to disclosing this data.
January 29, 2025
Commonwealth in Talks to Sell Minority Stake: ReportThe firm, led by Wayne Bloom, will likely attract strong private equity interest, said one industry watcher.
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.