Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How Raymond James Is Cultivating Black Advisor Talent
By Jeff BermanAfter holding its ninth symposium for Black advisors, the firm says it's zeroing in on colleges and universities.
February 28, 2023
Merrill Names New Private Wealth HeadLindsay Hans will succeed Don Plaus as head of the firm's Private Wealth Management, International and Institutional.
February 28, 2023
FINRA Provides Update on 'Finfluencers' CrackdownNew guidance illustrates some "initial themes" from the ongoing targeted exam.
February 23, 2023
Orion Launches Advisor Academy: Tech RoundupAlso, Dynasty Financial Partners selected BridgeFT's WealthTech API to power its integrated wealth technology,
February 22, 2023
SEC Calls for Proceedings Against Imprisoned Ex-BrokerThe former broker was convicted of defrauding the oldest Black-owned insurance company in the U.S.
February 22, 2023
Avantax Reports Recruiting Surge in 2022The tax-focused wealth firm, formerly Blucora, said recruited assets rose 79% from 2021.
February 21, 2023
Raymond James Adds Instagram to Advisor Marketing ProgramThe firm plans a focused launch of YouTube and Spotify podcasting in the coming months, it said.
February 21, 2023
Cambridge Launches New Service for Advisors With Wealthy ClientsThe service "creates one entry point" offering access to a range of expertise and guidance, says Jeff Vivacqua.