Compare broker-dealers and RIAs to understand their roles, regulations, and which suits your investment needs. Learn the key ...

Last year proved to be a healthy season for advisor recruitment at Janney Montgomery Scott. The leading full-service broker-dealer and investment banking firm confirmed that it welcomed 27 experienced ...

Established in 1946, R.F. Lafferty & Co., Inc. is a global, full-service broker-dealer headquartered in New York, New York. R.F. Lafferty has been family owned and operated since 1970, and clients can ...

BIRMINGHAM, Ala., Feb. 26, 2025 (GLOBE NEWSWIRE) -- NBC Securities, a leading independent full-service broker-dealer and registered investment advisor headquartered in Alabama, is pleased to announce ...

128-year-old bank chooses Cetera Financial Institutions to scale and expand its $2.5 billion AUA investment services program SAN DIEGO, March 18, 2025 /PRNewswire/ — Cetera Financial Group, the ...

BIRMINGHAM, Ala., June 17, 2025 (GLOBE NEWSWIRE) -- NBC Securities, a leading independent Southeast-based full-service broker-dealer and registered investment advisor, announced the release of its ...

London-based GSR, one of crypto’s largest market makers, has agreed to acquire Equilibrium Capital Services, a FINRA-registered broker-dealer shell company based in Portland, Oregon. The market maker ...

RBC Dain Rauscher Inc., the wealth management unit of Royal Bank of Canada, has agreed to buy Ferris Baker Watts Inc., a broker-dealer in Washington. The terms of the transaction were not disclosed, ...

LPL Financial LLC has announced the addition of financial advisor Michael Carmichael, RFC®, CRPS®, founder of Carmichael Financial, to its broker-dealer and RIA platforms. With approximately $190 ...

Dallas-based broker-dealer Prospera Financial Services has bought Cutter & Co., a St. Louis broker-dealer with $2 billion in client assets, according to a press release. The acquisition is intended to ...

LPL Financial (LPLA) announced that Shawn Gentle of Gentle Family Wealth Partners has joined LPL Financial’s broker-dealer and Registered ...