Tag: LPL
LPL Financial Hires EVP to Focus on Advisor Relationships
LPL Financial LLC, the nation’s largest independent broker-dealer, has hired Angela Xavier executive vice president of independent advisor services business consulting. In her new...
FINRA Suspends Former LPL Broker for Soliciting Investors for Unauthorized Variable...
The Financial Industry Regulatory Authority has suspended and fined a former LPL Financial broker for soliciting investors to purchase an unauthorized variable life insurance...
Texas Fines LPL Financial $450,000 for Selling Unregistered Securities
LPL Financial LLC, the nation’s largest independent broker-dealer, was fined $450,000 by the State of Texas and ordered to repurchase certain securities it sold...
LPL Adds Former Voya Team to Platform
LPL Financial LLC, the nation’s largest independent broker-dealer, has added O&R Partners, made up of financial advisors Dave Olivieri and Wes Rowlands, to its...
Former Foresters Financial Hybrid Team Joins LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, has added advisors Carrie Mullins, Sara Tanner, Susan Perry, Sierra Swidrak, Davis Siliga and Kalin Rooney...
LPL Financial Adds $120 Million Team to BD and RIA Platforms
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Seacoast Financial Network to its broker-dealer and corporate registered investment advisor platforms. Seacoast joins...
LPL Adds Former Wells Fargo Advisor to Existing Firm Gladstone
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Breandan Kelly has joined the company from Wells Fargo Advisors, and will...
LPL Financial Adds Three Former Ameriprise Financial Advisors to Platform
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Michael Bonevento, James Costabile and Craig Laday to its broker-dealer and corporate...
Robert Moore Steps Down as CEO of Cetera, Cites Health Reasons
Cetera, a network of independent broker-dealer firms, announced that Robert Moore is stepping down as its chief executive officer, effective March 31, due to...
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....
