Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
11 Best & Worst Broker-Dealers: Q1 Earnings, 2025
By Janet LevauxTwo of the firms reported earnings declines from a year ago — one tied to a large regulatory payment.
May 09, 2025
Cetera Taps Ex-Equitable Exec to Lead Branch Office ModelJohn Lefferts will oversee more than 450 advisors in Cetera Investors branch offices across the United States.
May 09, 2025
LPL CEO Pledges Continuity for Commonwealth AdvisorsRich Steinmeier detailed the firm's efforts to woo them on LPL's Q1 earnings call.
May 06, 2025
FINRA Clarifies Outside Business Activities PlanBrokers will not be required to report personal transactions like trading bitcoin or buying insurance, FINRA said Monday.
May 05, 2025
Raymond James to Buy Stakes in Some Advisor PracticesThe program "addresses the challenges they face when monetizing their practice," said Emma Boston, head of strategic operations.
May 02, 2025
FINRA's New Outside Activities Proposal Is AbsurdIf this rule is enacted as is, tens of thousands of reps will drop their FINRA licenses.
May 01, 2025
What the LPL-Commonwealth Deal Means for AdvisorsOn May 21, an expert panel will dive into its effects on advisor movement, compensation, services and more.
April 30, 2025
Edward Jones Adds Alt Investments, Advanced Planning for HNW ClientsThe firm entered into a relationship with CAIS, an alternative investment technology platform for financial advisors.