Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
First Republic's Deposits Plunge, Stock Drops
By Bre BradhamShares sank by as much as 48% Tuesday after its earnings report further dented confidence in the San Francisco-based firm.
April 24, 2023
Raymond James Targets $2T in AssetsScott Curtis, Private Client Group chief, explained the firm's 2030 target and more strategies at its advisor conference Monday.
April 21, 2023
Ex-Morgan Stanley, Schwab Broker Arrested on Child Porn ChargesRandall Kiefer has been charged with 21 counts related to child porn.
April 20, 2023
SEC Issues New Reg BI GuidanceA Q&A clarifies how to determine if an investment or strategy is in a client's best interest.
April 20, 2023
LPL's 'Supported Independent' Channel Hits MilestoneThe Strategic Wealth Services group now includes over 30 teams from wirehouses, Raymond James and other firms.
April 18, 2023
Atria Buys $15B Firm From KestraWith the addition of Grove Point, formerly H. Beck, Atria's operations should include about 2,700 financial professionals.
April 18, 2023
LPL Picks Up $3.1B Firm From TD AmeritradeLPL now supports over 21,000 financial advisors, including advisors at about 1,100 enterprises and at about 500 RIAs.
April 17, 2023
Goldman, Apple Debut Savings Account With 4.15% Annual YieldThe account has no fees, minimum deposit or balance requirements and can be set up from within the Wallet app.