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SEC Bars Former Royal Alliance Adviser Sentenced for Multi-Million Dollar Fraud

The Securities and Exchange Commission has barred Kimberly Kitts, a former Royal Alliance adviser, who pleaded guilty late last year to criminal charges including...

Former Ameriprise Advisor Goes Indie with LPL Firm

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Mike Bensey has joined LPL Financial and aligned with Good Life Companies....

Guest Contributor: Three Ways Investment Sponsors Can Leverage Technology in Their...

By: Brad Blazar, Director of National Accounts at VENTURE.co It should be no surprise that leading wealth advisers, including Charles Schwab, Vanguard and others, have...

LPL Financial to Acquire Firm with $3 Billion in Client Assets

LPL Financial Holdings Inc. has agreed to acquire Allen & Company of Florida Inc., a broker-dealer and registered investment adviser with 30 advisors that...

LPL Financial Recruits Fee-Only Advisor with $1.1 Billion in Client Assets

LPL Financial LLC, a retail investment advisory firm and independent broker-dealer, has recruited financial advisor Peter Heilbron to its corporate registered investment advisor platform...

LPL Financial Recruits Credit Union from CUSO

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Bay Federal Credit Union’s investment program to its broker-dealer and corporate registered investment advisor...

LPL Financial Adds Former Morgan Stanley Advisor

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Pete Babilla has joined existing LPL firm HighPoint Planning Partners. Babilla joins...

LPL Adds Former Voya Team to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added O&R Partners, made up of financial advisors Dave Olivieri and Wes Rowlands, to its...

Former Foresters Financial Hybrid Team Joins LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, has added advisors Carrie Mullins, Sara Tanner, Susan Perry, Sierra Swidrak, Davis Siliga and Kalin Rooney...

LPL Financial Adds $120 Million Team to BD and RIA Platforms

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Seacoast Financial Network to its broker-dealer and corporate registered investment advisor platforms. Seacoast joins...