Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Taps New CFO as Leadership Shuffle Continues
By John ManganaroButch Oorlog will replace CEO-in-waiting Paul Shoukry; Bella Allaire also has a new role.
May 23, 2024
T+1 Starts Tuesday. Be Ready, SEC Chief WarnsGary Gensler extolled the benefits of the conversion, but also urged firms to perform all necessary testing.
May 23, 2024
LPL Adds $4.6B Lincoln Team, $705M Merrill DuoPilot Financial of North Carolina moves with 105 advisors, while the ex-wirehouse duo is based in Oklahoma.
May 22, 2024
Schwab Defends App After Rival Exec Says It 'Sucks'Amid complaints its app "sucks," Schwab says things are going well with users who have migrated.
May 22, 2024
Interactive Brokers Notifies 600 Clients of Data BreachThe breach, disclosed May 16, involved an unauthorized party gaining access to an employee's email account.
May 22, 2024
Best & Worst Broker-Dealers: Q1 Earnings, 2024Seven large firms reported improved earnings in the first quarter, while profits dropped at four.
May 17, 2024
RIAs, BDs Must Tell Clients About Data Breaches: SECA new rule amendment requires firms to notify clients within 30 days if private data has been compromised.
May 13, 2024
Creative Planning Joins Fidelity Referral ProgramCEO Peter Mallouk says he expects a third custodian to become "dominant" along with Fidelity and Schwab.