Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Meet the LUMINARIES Class of 2022 Finalists
By Janet LevauxNow in its second year, the recognition program spotlights firms and individuals who excel in four categories.
June 21, 2022
Which Firms Are Really Driven by Financial Planning?While financial plan-driven investing has grown dramatically, it's not as widely practiced as you may think.
June 21, 2022
Invest in Others Names 'Charitable Champions' of 2022Collectively, the winners raised nearly $2.1 million and donated 20,750 hours through their community-focused efforts in 2021.
June 21, 2022
July Court Date Set for LPL Network Firm Employee Charged With Double MurderRamy Fahim is charged with killing his co-worker at an LPL Network RIA firm and the co-worker's roommate.
June 20, 2022
Pershing X Platform Launch on Track for Late 2022A new business unit focused on building "innovative solutions for the advisory industry" developed the prototype, the firm says.
June 17, 2022
Morningstar Rolls Out New Research Platform: Tech RoundupAlso, Sanctuary Wealth launches a customized alternative investment platform for hybrid RIAs.
June 16, 2022
BNY Mellon CEO-Elect: How the Oldest Firm in the NYSE Is Staying in the GameFirms have "littered the corporate graveyard as a result of not innovating," Robin Vince said at Pershing Insite.
June 16, 2022
In First Reg BI Action, SEC Hits BD Over Sales of Risky Bonds to RetireesConsumer advocate Micah Hauptman says he's glad to see the rule enforced "in a way that should send a strong message."