Tag: LPL Financial
LPL Recruits Former Ameriprise Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Mark Sudol, Gary Sudol, and Jeffery Lavin of The Sudol Group to...
LPL Recruits Former Wells Fargo Financial Advisor with $125 Million AUM
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Brian Gernant of Gernant Asset Management to its broker-dealer and corporate registered...
LPL Financial Recruits Former Ameriprise Hybrid
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Barry Rucks and Matt Silverhardt of Barry A. Rucks & Associates to...
LPL Financial Adds Former UBS Broker with $160 Million Of Client...
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Cary L. Hall Jr., founder and chief executive officer of CLH Wealth...
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 Hires Former Cambridge Exec as New Chief Compliance Officer
Independent Financial Partners, an independent broker-dealer and multi-custodial registered investment advisor that split from LPL Financial earlier this year, has hired Melissa Loner as...
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...
