Tag: LPL Financial
LPL Financial Lures Retirement & Investment Group From Raymond James
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Retirement & Investment Group has joined LPL's broker-dealer and corporate registered investment advisor (RIA)...
LPL Fined $450K by Indiana Secretary of State
Indiana Secretary of State Connie Lawson has agreed to a settlement of $450,000 with LPL Financial LLC, the nation’s largest independent broker-dealer. The settlement...
LPL Financial Acquires AdvisoryWorld
LPL Financial LLC, the nation’s largest independent broker-dealer, has acquired AdvisoryWorld, a technology company that provides a suite of digital solutions designed to help...
LPL Recruits Former Wells Fargo Advisors Financial Advisor
LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited former Wells Fargo Advisors financial advisor Steven Jolly, who serves approximately $190 million of...
LPL Financial Adds Former Cetera Team to IBD and RIA Platform
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Infinity Financial Partners to its broker-dealer and corporate registered investment advisor platforms. Infinity, which...
Former LPL Broker Sentenced to 20 Years for Stealing $1.8 Million...
3Sonya Camarco, a former broker at LPL Financial, was sentenced to 20 years in prison pleading guilty to diverting more than $1.8 million in...
LPL Recruits $800 Million Team from Signator
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Seattle First Asset Management LLC to its broker-dealer and corporate registered investment advisor platforms....
FINRA Fines LPL Nearly $2.8 Million for Complaint Reporting Violations and...
The Financial Industry Regulatory Authority has fined LPL Financial LLC $2.75 million for complaint-reporting and anti-money laundering program failures that spanned a period of...
Cetera Financial Group Adds Two Executives to Business Development Team
Cetera Financial Group, the second-largest independent financial advisor network in the nation by number of advisors, has added two new executives, Jeffrey Bottorff and...
LPL Hires Former IBM Exec as EVP of Business Development
LPL Financial LLC, the nation’s largest independent broker-dealer, has hired former IBM executive Scott Posner as its executive vice president of business development. In...
