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LPL Reports $1.1 Trillion in Advisory and Brokerage Assets in 2Q21

LPL Financial Holdings Inc. (Nasdaq: LPLA), the parent of LPL Financial LLC – the nation’s largest independent broker-dealer, reported that total advisory and brokerage...

LPL Financial Recruits Former Cetera Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Joe Roddy, Steve Mayer, and Laurie Elfrank of West End Advisory Group...

LPL Financial Adds Former Ameriprise Team

LPL Financial LLC, the nation's largest independent broker-dealer, has added financial advisor Alan Kodama and the team at Pacstar Financial Group to its broker-dealer,...

Advisor Group Hires Former RBC Executive as EVP of Business Development

Advisor Group, a network of independent wealth management firms, has hired Kristen Kimmell as the company’s new executive vice president of business development. In her...

SEC Obtains Final Judgement Against Former Morgan Stanley Adviser Who Stole...

The Securities and Exchange Commission has obtained a final judgement against former Morgan Stanley advisor, Michael B. Carter, who stole more than $6 million...

Securities America Advisors to Pay $1.8 Million For Failing to Prevent...

The Securities and Exchange Commission has ordered Securities America Advisors, the RIA arm of broker-dealer Securities America Inc., to pay a $1.75 million civil...

Former Wells Fargo Advisors Launch Independent Practice with LPL

LPL Financial LLC, the nation’s largest independent broker-dealer, reported that financial advisors Steven Carlsen and Sathya Chey have launched a new independent practice, Arise...

Lasalle St. Recruits Philadelphia-Area Investment Advisory Practice

LaSalle St., a family of wealth management firms, has recruited Retirement Planning Specialists, an investment advisory practice in the Philadelphia area with $200 million...

LPL Financial Recruits 30-Member OSJ Formerly with Voya

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Brian M. Woods Financial Services, a large enterprise supervising approximately 30 financial advisors, to its...

Former Wirehouse Team Launches Independent Practice with LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, reported that financial advisor Larry Boggs has launched a new independent practice, Boggs & Company Wealth...