Tag: Financial Industry Regulatory Authority
LPL Financial Adds Former Cetera Advisory Firm with $250 Million in...
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Money Matters has joined LPL Financial’s broker-dealer, registered investment advisor and custodial platforms.
The team...
Former Edward Jones Advisors Join LPL to Launch Zion Capital Wealth...
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisors Lucas Mijares and Jesse Ettlin launched an independent practice, Zion Capital Wealth...
FINRA Survey: New Investors More Likely to Seek Financial Advice
According to a recent report from the Financial Industry Regulatory Authority, new investors are more likely to seek the advice of financial professionals.
In 2020,...
Former Edward Jones Advisor Joins LPL to Launch Independent Practice
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Nick Lalonde has launched an independent practice and joined LPL Financial’s broker-dealer,...
Financial Advisor Joins LPL From Wells Fargo to Form Independent Practice
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Scott Glasson has joined LPL’s employee advisor channel, Linsco by LPL Financial,...
LPL Acquires Newly Launched $1.45 Billion RIA
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that three teams of financial advisors have joined forces for the launch of a new...
Former AIG Advisor Jumps to LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Timothy Lanier has joined LPL Financial’s broker-dealer, registered investment advisor and custodial...
Former Merrill Lynch Advisor Joins LPL
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Eric Gallinger has joined LPL Financial and is aligned with Stratos Wealth...
Regulatory Perspective: The Path Ahead for Alts in 2023
Following downturns in the stock and bond markets, financial professionals and Main Street investors are turning to alternative investments to further diversify in a...
Former Merrill Lynch Advisor Launches RIA Through LPL
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Thom Maher launched an independent practice, Maher Wealth Management, through affiliation with...
LPL Hires Executive VP of Independent Advisor Services Relationship Management
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Julian Lopez has joined the firm as executive vice president of independent advisor services...
LPL Promotes Aneri Jambusaria to Lead Services Group
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Aneri Jambusaria has been promoted to managing director, LPL services group, and has joined...
Semerjian Out at LPL in Leadership Shake-Up
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Dayton Semerjian, formerly managing director and chief customer care officer, will depart the company...
FINRA Suspends and Fines Former LPL Rep for Falsifying Client Signatures
A former LPL Financial representative, Patrick Keith Sloan, has been fined by the Financial Industry Regulatory Authority for falsifying signatures and making trades without...
LPL Financial Launches Partial Book Sales Program
LPL Financial LLC, the nation’s largest independent broker-dealer, announced the launch of its newest offering, Partial Book Sales, which the company says allows advisors...
LPL Grows Advisor Count to 21,275 in 2022; Earning Per Share...
LPL Financial LLC, the nation’s largest independent broker-dealer, announced results for its fourth quarter 2022, reporting a net income of $319 million, or $3.95...
LPL Financial Acquires $40 Billion RIA Branch Office
LPL Financial LLC, the nation’s largest independent broker-dealer, announced the closing of its acquisition of Financial Resources Group Investment Services, an LPL branch office...
Former UBS Rep is barred by FINRA and Sued for $17...
A former UBS Financial Services representative, Robert Earl Turner Jr., has been barred by the Financial Industry Regulatory Authority for recommending and selling “fixed...
Former Ameriprise Advisor Joins LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Jonathan Blakelock, has joined LPL Financial’s broker-dealer, RIA and custodial platforms.
He reported...
FINRA Censures Three Advisor Group Firms and Orders Restitution of $515K
The Financial Industry Regulatory Authority has ordered restitution totaling $515,000 be paid to clients of Securities America, Royal Alliance and Sagepoint, three subsidiaries of...
