In the future, will people have relationships with their financial advisors or with the advisors’ broker-dealers, custodians and other affiliated businesses? It’s an uncomfortable question. Clients ...

For many financial advisors, dissatisfaction with a current broker-dealer eventually raises the question: is it time to make a move? The recent trend of broker-dealer consolidation through mergers and ...

I reiterate my buy rating on IAI, as broker-dealer stocks show strong momentum and relative strength versus other Financials in 2025. IAI’s diversified portfolio, solid long-term earnings growth, and ...

Financial advisors affiliated with a broker-dealer are far more likely than other advisors to say they will definitely leave their firm this year. That was among the findings in this month's Financial ...

Explore the full scope of the survey results, download the report. Sponsored by Kestra Financial Read the findings of our latest study, sponsored by Kestra Financial, that asked financial ...

In today’s increasingly complex regulatory environment, broker-dealers (BDs) face mounting pressure to implement effective surveillance technology to detect and prevent violations. However, navigating ...

LPL continues its growth streak with the acquisition of assets from National Retirement Partners, a California based broker/dealer. NRP employees will join LPL Financial to form a new division dubbed ...

Fincap Securities was named Best Broker-Dealer at the 10th anniversary of the Ghana Fixed Income Market, adding to a series of industry awards as the firm consolidates its position in the country’s ...

The Securities and Exchange Commission has charged a registered broker-dealer with violations of Regulation Best Interest. First Horizon Advisors, LLC, was found to have not maintained and enforced ...