Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Prudential Advisors Rebrands as Prudential Wealth Advisors
By Dinah Wisenberg BrinThe firm said the change reflects its evolution and expanded capabilities.
September 18, 2026
Firms Cheer FINRA's Comms Plan but Call for More AI ClarityFidelity and Schwab were among firms weighing in on how FINRA should regulate AI.
September 17, 2026
Raymond James Small-Business Retirement Plan Now Available Through Its AdvisorsThe firm has introduced a SIMPLE IRA Plus program.
September 17, 2026
NYLife Rep Fired Over Outside Activities Gets Boot From FINRAGerald J. Page declined to produce documents for an investigation of his conduct, according to the regulator.
September 16, 2026
Ex-Edwards Jones Advisor Gets 7-Year Sentence in $10M Fraud Against Elderly ClientThe prison time for Ejiroghene Okuma should send a message to fiduciaries, a prosecutor said.
September 02, 2026
Edward Jones Partners With Duke and the University of OregonAs part of the collaborations, the wealth management firm will hold financial education workshops for students and athletes.
August 31, 2026
Scammed Client Accuses Ameriprise of NegligenceAn advisor should have asked more questions about suspicious withdrawals, a lawsuit suggests.
August 31, 2026
$2.1B Team Splits From LPL, Joins CeteraCalifornia-based Sierra Ridge Advisor Group leaves LPL after just 13 months and plans to launch an RIA.