Tag: LPL
LPL Financial Recruits Ex-Wells Fargo Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Encore Capital Management to its broker-dealer and corporate registered investment advisor model. The team...
LPL Financial Launches New Program to Serve Affluent Market
LPL Financial LLC, the nation's largest independent broker-dealer, has launched the LPL Private Client Services Network, a new program to provide LPL-affiliated advisors access...
Cetera Recruits $300 Million Team from Mass Mutual
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, has recruited Skafco, a financial planning team that manages approximately $300...
LPL Reports First Quarter 2022 Results, Broker Count Exceeds 20,000
LPL Financial Holdings Inc. (Nasdaq: LPLA), the parent of LPL Financial LLC – the nation’s largest independent broker-dealer, released its first quarter 2022 financial...
LPL Financial Recruits $120 Million Father-Daughter Team
LPL Financial LLC, the nation's largest independent broker-dealer, has added Northern Lakes Financial Group to its broker-dealer, hybrid registered investment advisor, and custodial platforms....
Former LPL CIO Joins Carson Group as Managing Partner and Chief...
Carson Group, a financial services firm that manages $20 billion in assets, has hired Burt White as managing partner and chief strategy officer to...
SEC Charges Former LPL/Wells Fargo Broker with Stealing $680,000 from Clients
The Securities and Exchange Commission has charged Mario E. Rivero Jr., a former broker and investment adviser, with misappropriating at least $680,000 from his...
FINRA Sanctions Ex-LPL Broker Accused of Raising $815,000 for Fraudulent Tequila...
The Financial Industry Regulatory Authority has suspended and fined Michael Mandel, a former LPL broker, for allegedly soliciting 18 investors, seven of whom were...
LPL Financial Recruits $1 Billion Team from Wells Fargo
LPL Financial, the nation's largest independent broker-dealer, reported that financial advisors Jason Howard, Shane Kunz, and Chad Horne, have joined the firm to launch...
LPL Recruits Father/Son Advisor Team from Raymond James
LPL Financial LLC, the nation’s largest independent broker-dealer, has added father and son financial advisors Steve and Jeremy Friedman to its broker-dealer, hybrid registered...
