Tag: LPL
LPL Financial Adds Former Cetera Team to Platform
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Founders Investment Services, offered at Founders Federal Credit Union, to its broker-dealer and corporate...
LPL Recruits Former Cadaret Grant Team
LPL Financial LLC, a nation’s largest independent broker-dealer, has added Mayco Financial Services to its broker-dealer and corporate registered investment advisor platforms. Mayco, which...
Cetera Hires Former LPL Exec as a Community Financial Institution Director
Cetera, a network of independent broker-dealer firms, has hired Brian Neyland as an independent program manager servicing banks, credit unions and independent advisors in...
FINRA Fines LPL Nearly $2.8 Million for Complaint Reporting Violations and...
The Financial Industry Regulatory Authority has fined LPL Financial LLC $2.75 million for complaint-reporting and anti-money laundering program failures that spanned a period of...
LPL Adds Former Cetera Hybrid to Platform
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Brennan Asset Management Group to its broker-dealer and corporate registered investment advisor platforms.
Brennan Asset...
LPL Recruits $500 Million Team Formerly with Cadaret Grant
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Beltz Ianni & Associates LLC to its broker-dealer and corporate registered investment advisor platforms....
LPL Recruits $520 Million Firm from Cambridge
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Premier Investments of Iowa Inc. to its broker-dealer and corporate registered investment advisor platforms....
LPL Financial Adds $180 Million Team from Cetera
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Winebrenner Financial Services to its broker-dealer and corporate registered investment advisor platforms. The firm...
LPL Financial Recruits Former First Allied Firm
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Gulf Coast Wealth Advisors to its broker-dealer and corporate registered investment advisor platforms. The...
LPL Financial Adds $220 Million Team from Waddell & Reed
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Kansas City, Missouri-based BMG Advisors to its broker-dealer and corporate registered investment advisor platforms....
