In the complex landscape of finance and investment, broker-dealers play a pivotal role, acting as intermediaries in the buying and selling of securities. They represent the heartbeat of the financial ...

NEW YORK — After completing an overhaul of its top management late last year, Bear Stearns’ clearing and custody unit continues to hire new executives — some of whom are being recruited from top ...

Cryptocurrency market maker GSR has agreed to acquire Equilibrium Capital Services, a Portland-based broker-dealer registered ...

In this panel from the annual “Securities Enforcement Forum West” event, securities law experts and SEC officials discuss how financial firms, including asset managers, broker dealers, and hedge funds ...

LPL Financial (LPLA) announced that financial advisor James Norris of Argosy Financial has joined LPL Financial’s broker-dealer, RIA and custodial platforms. He reported serving approximately $250 ...

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 ...

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 ...

LPL Financial (LPLA) announced that the partners of Tennant Financial have joined LPL Financial’s broker-dealer and Registered Investment Advisor ...

NEW YORK--(BUSINESS WIRE)--ACA Group (ACA), the leading provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, today announced it has acquired ...