Tag: LPL
FINRA Bars Former LPL Rep
Financial Industry Regulatory Authority has barred former LPL Financial representative Jason Nelson for refusing to provide testimony to regulators in connection with his termination...
LPL Financial Adds Former Oppenheimer Advisor with $220 Million in Client...
LPL Financial LLC, the nation’s largest independent broker-dealer, recruited J.R. Frenzel, a Bridgeport, West Virginia-based financial advisor who has aligned with Good Life Companies,...
LPL Recruits Former Waddell & Reed Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Jake Murray, Mike Canavan and Jill Phillips of Teton Wealth Management to...
Apollon Wealth Management Names Former LPL Exec as Chief Operating Officer
Apollon Wealth Management, a registered investment advisor, has hired Steven Mills, a former senior vice president at LPL Financial, as its new chief operating...
FINRA Bars Former Commonwealth Broker for Refusing to Provide Documents to...
The Financial Industry Regulatory Authority has barred Benjamin Frank Bourgeois, a former Commonwealth Financial broker, for refusing to produce documents and information requested by...
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....
FINRA Bars Former LPL Broker for Refusing to Testify at Hearing
The Financial Industry Regulatory Authority has barred Philip Nalesnik, a former LPL Financial rep, for refusing to provide on-the-record testimony to the regulators into...
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...
LPL Financial Recruits Fee-Only Advisor with $1.1 Billion in Client Assets
LPL Financial LLC, a retail investment advisory firm and independent broker-dealer, has recruited financial advisor Peter Heilbron to its corporate registered investment advisor platform...
