Tag: LPL Financial
Massachusetts Securities Division Fines LPL $1.1 Million over Unregistered Agents and...
The Massachusetts Securities Division has fined LPL Financial $1.1 million for failing to properly register agents in Massachusetts and timely file certain reportable events....
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....
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...
IFP Officially Launches Independent Broker-Dealer After Terminating LPL Contract
Independent Financial Partners has officially terminated their contract with LPL Financial and started the process of transitioning to its new independent broker-dealer entity.
IFP left...
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...
FINRA Suspends Former High-Profile LPL Broker for Borrowing Money from Client
The Financial Industry Regulatory Authority has suspended and fined James Bashaw, a former LPL Financial broker, for borrowing approximately $200,000 from an LPL customer...
LPL Financial Hires EVP to Focus on Advisor Relationships
LPL Financial LLC, the nation’s largest independent broker-dealer, has hired Angela Xavier executive vice president of independent advisor services business consulting. In her new...
FINRA Suspends Former LPL Broker for Soliciting Investors for Unauthorized Variable...
The Financial Industry Regulatory Authority has suspended and fined a former LPL Financial broker for soliciting investors to purchase an unauthorized variable life insurance...
