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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...
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