Tag: LPL Financial
FINRA Approves IFP’s Broker-Dealer Application
Independent Financial Partners, currently a hybrid registered investment adviser and office of supervisory jurisdiction (OSJ) with LPL Financial, has been approved by FINRA to...
IFP Nabs Financial Backing from Two Partners Ahead of Broker-Dealer Launch
Independent Financial Partners (IFP), a registered investment adviser and office of supervisory jurisdiction for LPL Financial, has finalized financial commitments from two partners, Pacific...
LPL Financial Adds $360 Million Team from Wells Fargo Advisors
LPL Financial, the nation’s largest independent broker-dealer, has added Harbor Financial Group to its broker-dealer and corporate registered investment advisor platforms. The firm joined...
Triad Recruits Former LPL Retirement Group with $10 Billion in Assets...
Triad Advisors, LLC, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), and Resources Investment Advisors LLC, a wealth management and...
LPL Financial Adds $130 Million Credit Union Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Power Investment Services at Power Financial Credit Union to its broker-dealer and corporate registered...
LPL Financial Adds $640 Million Stofan Agazzi Investments
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Stofan Agazzi Investments LLC to its broker-dealer and corporate registered investment advisor platforms. The...
Commonwealth Recruits $325 Million Team from LPL
Commonwealth Financial Network, the nation’s largest privately held registered investment adviser and independent broker-dealer, has added Daley Financial Partners of Oak Brook, Illinois, to...
LPL Financial Nabs Former Cetera Trio with $185 Million in Client...
LPL Financial LLC, the nation’s largest independent broker-dealer, has added John Marshall & Associates Investment Center to its broker-dealer and corporate registered investment advisor...
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...
