Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ameriprise: Departing Advisors Took 4,500 Clients' Data to LPL
By Dinah Wisenberg BrinAn LPL tool allowed recruits to upload client data beyond the Broker Protocol, Ameriprise says.
October 24, 2024
Ameriprise Advisors' Assets Top $1 Trillion: Q3 EarningsThe firm's advisor headcount stands at 10,358, up from last year but down from the second quarter.
October 23, 2024
Raymond James Tops Estimates, Adds 75 Reps in Latest QuarterIts private client assets jumped 25% from a year ago to $1.5 trillion.
October 22, 2024
LPL Board Confirms Rich Steinmeier as CEOThe company also appointed a new president and chief financial officer.
October 21, 2024
LPL Blasts Ameriprise Recruiting Suit as 'Public Relations Stunt'Ameriprise has filed several lawsuits against LPL alleging improper recruiting tactics.
October 21, 2024
7 Top SEC Exam Priorities for 2025In addition to core business practices, examiners will focus on new rules, emerging tech and investor data protection.
October 18, 2024
BD Violated Reg BI With Excessive Trading That Cost Clients $1M: SECPHX Financial and a registered rep made over $400,000 in commissions and fees while clients lost money, the SEC said.
October 16, 2024
Osaic Hires CFO From Thomson ReutersKristy Britt was head of finance for operations and technology at the company.