The five broker-dealer investment management firms represented on the 2025 list took care of $62 billion assets under management last year. The 2025 list of broker-dealer firms handling investment ...

Scuteri brings nearly three decades of experience across institutional trading, asset management, and broker-dealer ... Siebert Financial Corp. Siebert is a diversified financial services company ...

DALLAS, April 8, 2025 /PRNewswire/ -- Dallas-based independent broker-dealer Prospera Financial Services, Inc. announced it has acquired St. Louis, Missouri-based Cutter & Company, an independent ...

The prominent financial publication, which ranks firms based on gross revenue, has named Northwestern Mutual a top-10 independent broker-dealer each ... of products and services to both investment ...

Broker-dealers’ ability to add more services for this clientele has also made the relationships stickier. Marc Cohen, managing director of business strategy and innovation at LPL Financial ...

to its broker-dealer and RIA platforms. With approximately $190 million in client assets and over 20 years of experience in financial services, Carmichael emphasizes helping clients achieve secure ...

LPL Financial (LPLA) announced that financial advisor James Norris of Argosy Financial has joined LPL Financial’s broker-dealer ... of experience in financial services, specializing in ...

Ages Financial Services Ltd., a small Boston-area broker-dealer that opened in 1984, shut down Nov. 18, two months after losing a $1.16 million arbitration claim stemming from the sale of bankrupt ...

FinOps, or financial operations, involves services that ensure a broker-dealer's financial practices comply with stringent FINRA and SEC standards, including accounting, recordkeeping, and ...

Cryptocurrency exchange Crypto.com has announced the acquisition of Watchdog Capital, a broker-dealer registered ... broadening its suite of financial services beyond crypto.