Tag: LPL
SEC Charges Adviser for Defrauding Two Retail Investors in Oversees Investment...
The Securities and Exchange Commission has charged Richard G. Duncan, a longtime investment adviser and broker who first became registered in 1971, with defrauding...
LPL Financial Adds Former UBS Broker with $160 Million Of Client...
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Cary L. Hall Jr., founder and chief executive officer of CLH Wealth...
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...
LPL Financial Adds Another Group from Kestra Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Encino, California-based PFP Financial and Insurance Services Corp. to its broker-dealer and corporate registered...
LPL Financial Recruits Former Kestra Group with $500 Million in Client...
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Charton Financial Group to its broker-dealer and corporate registered investment advisor platforms.
Edward Charton, principal...
IFP Hires Former Cambridge Exec as New Chief Compliance Officer
Independent Financial Partners, an independent broker-dealer and multi-custodial registered investment advisor that split from LPL Financial earlier this year, has hired Melissa Loner as...
SEC Charges Former LPL Broker and Convict Friend for Selling Unregistered...
The Securities and Exchange Commission has charged Thomas Conwell and his childhood friend and former LPL broker, Kerry Hoffman, for fraudulently selling securities to...
LPL Financial Recruits $1.1 Billion Team from Raymond James
LPL Financial LLC, the nation’s largest independent broker-dealer, has added the financial advisors of PacNorth Retirement Group to its broker-dealer and corporate registered investment...
Massachusetts Securities Division Fines LPL $1.1 Million over Unregistered Agents and...
The Massachusetts Securities Division has fined LPL Financial $1.1 million for failing to properly register agents in Massachusetts and timely file certain reportable events....
Former Cetera Team Returns to LPL
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Salter Financial Group has returned to its broker-dealer and corporate registered investment advisor platforms....
