Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Chief Product Officer to Step Down Amid 'Organizational Realignment'
By John ManganaroKabir Sethi will depart the company at the end of March, according to a regulatory filing.
February 27, 2024
What Recruiters Are Saying About Cetera's New Growth GuaranteeCetera promises new advisors faster growth or a refund of their affiliation fee. Will they take the bait?
February 26, 2024
Goldman Promotes Meena Flynn to Co-Lead UHNW PushOverall, the firm wants to boost its private wealth-management results and become less reliant on volatile trading revenue.
February 23, 2024
LPL Facing SEC Fine as High as $50M Over Texts, App UseTwo weeks ago, 16 other firms agreed to pay more than $81 million for similar issues.
February 23, 2024
Wells Fargo Adds Role to Boost Growth in FiNet, First ClearingErik Karanik, who joined the bank in 1990, now leads Independent Solutions for its Wealth & Investment Management unit.
February 23, 2024
LPL Snaps Up $16B in Wintrust AssetsThe IBD will also move about 85 advisors onto its Institution Services platforms.
February 23, 2024
New SEC Dealer Rule Will Hit Private Funds: SEC RoundupAIMA's Suzan Rose says the rule expands BD registration to entities not traditionally considered as such.
February 21, 2024
FINRA Fines BD $75K for Email ViolationsIn one incident, a Ceros employee sent hundreds of clients' account data to their personal email, FINRA says.