Tag: LPL
SEC Charges Former Cetera Rep with Defrauding Elderly Investor of $2.4...
The Securities and Exchange Commission announced charges against Clarice Saw, a former registered representative with Cetera Investment Advisors, for allegedly defrauding a customer of...
LPL Expands Investor and Investment Solutions Leadership Team with Two New...
LPL Financial LLC, the nation’s largest independent broker-dealer, announced the addition of two executives to the firm’s “investor and investment solutions leadership team.“
Cory Triolo...
LPL Financial Expands Board of Directors with Addition of Albert Ko
LPL Financial Holdings Inc., the nation’s largest independent broker-dealer, announced that Albert Ko has been elected to the company’s board of directors as an...
$600 Million Kansas RIA Joins LPL
LPL Financial LLC announced that Strategic Partners Inc. has joined LPL Financial’s broker-dealer, registered investment advisor and custodial platforms, aligned with National Financial Alliance.
Strategic...
Los Angeles RIA Affiliated with LPL Acquires $860 Million RIA
Perennial Financial Services, a registered investment advisor affiliated with LPL Financial, acquired Ford Financial Group, a fellow LPL-affiliate based in Fresno, Calif. that oversees...
Former Morgan Stanley Rep Joins Linsco by LPL
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Tim Truebenbach CFP, has joined LPL’s employee advisor channel, Linsco by LPL...
Artiea Capital Management Joins LPL from Wells Fargo Financial Advisors Network
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that the team at Artiea Capital Management has joined LPL Financial’s broker-dealer, RIA and custodial...
Chip Marcus Wealth Management Launches through LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, announced today that financial advisor Chip Marcus has joined LPL’s employee advisor channel, Linsco by LPL...
Astra Wealth Advisors Joins LPL from Wells Fargo Financial Advisors Network
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Chris Albright of Astra Wealth Advisors has joined the firm’s broker-dealer, RIA...
Former Raymond James Advisors Launch Independent Practice through LPL
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisors Beau Jones, Chris Story, Taylor Roberts and Joseph Montgomery have launched an...
Former Merrill Lynch Advisor Launches Independent Practice through LPL
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Alexander Guiliano launched a New Jersey-based independent practice, Resonate Wealth Partners, through...
Bodnar Financial Advisors Joins LPL from Cambridge
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Bodnar Financial Advisors has joined the firm’s broker-dealer, registered investment advisor and custodial platforms.
Bodnar...
LPL Financial Adds Former Altruist Executive to Management Team
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Pete Dorsey has joined the firm as executive vice president of institution services. Dorsey...
Vero Wealth Management Joins Linsco by LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisors Benjamin Link and Steve Sexton have joined LPL’s employee advisor model, Linsco...
Former LPL Broker Pleads Guilty to Fraud and Witness Tampering
James Kenneth Couture, a registered investment adviser and former LPL broker accused of stealing nearly $3 million from six clients, has pled guilty to...
FINRA Fines LPL Financial $300,000 for Customer Reserve Violations
The Financial Industry Regulatory Authority has censured and fined LPL Financial, the nation's largest independent broker-dealer, for allegedly failing to accurately calculate its customer...
LPL Financial Hires EVP of Corporate Strategy and New Ventures
LPL Financial LLC, the nation’s largest independent broker-dealer, has hired Katelyn Shackleton as executive vice president of corporate strategy and new ventures. In her...
LPL Financial Reports 2Q22 Results, Decrease in Advisory and Brokerage Assets
LPL Financial Holdings Inc. (Nasdaq: LPLA), the parent of LPL Financial LLC – the nation’s largest independent broker-dealer, released its second quarter 2022 financial...
Carson Group Hires Former LPL Exec as Chief Market Strategist
Carson Group, a financial services firm that manages $20 billion in assets, has hired Ryan Detrick as chief market strategist. In his new role,...
Mariner to Buy $26 Billion LPL Affiliate
Mariner Wealth Advisors, a firm with more than $60 billion in assets under advisement, has agreed to purchase The Financial Services Network, a national...
