Tag: LPL
LPL Financial Recruits Community First Investment Group
LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited Community First Investment Group, the investment program offered at Community First Bank of Indiana....
LPL Financial Adds Former Wells Fargo Firm to Platform
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Team Preheim Advisory to its broker-dealer and corporate registered investment advisor platforms.
Founded by Karl...
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...
LPL Financial Adds Former Summit Brokerage Firm to Platform
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Patriot Wealth Management to its broker-dealer and corporate registered investment advisor platforms. Patriot joins...
LPL Financial Adds Former Kestra Team to its RIA and IBD...
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Regal Wealth Advisors to its broker-dealer and corporate registered investment advisor platforms. Regal joins...
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 Recruits Wisconsin Bank Program from Raymond James
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Third Oak Investment Services, the investment program offered at Baraboo State Bank, to its...
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...
Former HD Vest CEO Takes the Reins at HighTower
HighTower, an independent fee-based advisory firm, has named industry veteran Bob Oros as its new chief executive officer.
Oros, who has more than 20 years...
SEC Bars Former LPL Broker and Bank Manager Convicted of Embezzlement
The Securities and Exchange Commission has barred Stephen Thomas Carbonella, a former LPL Financial broker and bank manager who was sentenced last month to...
