Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
6 Questions to Ask Yourself Before You Sell Your Advisory Firm
By Kelly StraubAn advisor who sold his business offers practical guidance to others looking to do the same.
May 24, 2022
Raymond James Ramps Up Diversity Efforts After Pandemic LullThe pandemic stalled the firm's mentorship initiatives but it's getting back on track now, CEO Paul Reilly says.
May 24, 2022
Ex-Wells Fargo Exec Who Alleged Fake Job Interviews Plans to Sue Over His FiringJoe Bruno says he was terminated for complaining that women and minorities were interviewed for already-filled roles.
May 23, 2022
JPMorgan to Hire 1,300 More AdvisorsThe plan could bring its wealth management unit to 6,000 advisors and about $1 trillion in client assets over the next three years.
May 20, 2022
How Raymond James Keeps Luring Advisors From Rivals"Recruiting is still strong" despite market turmoil and stiff competition for talent, Private Client Group President Scott Curtis says.
May 20, 2022
Wells Fargo Ordered by Arb Panel to Pay Ex-Credit Suisse Rep Over $987KThe broker accused the wirehouse of "aiding and abetting Credit Suisse's scheme to steal" his deferred compensation.
May 20, 2022
Merrill Names New Head of Platforms and CapabilitiesCasey Franz is replacing Kabir Sethi, who recently left Merrill to join LPL Financial.
May 19, 2022
Stock Selloff May Be Entering a New PhaseThere's growing evidence that, while interest-rate worries have mostly played out, a new fear is in the driver's seat.