Tag: LPL
LPL Financial Adds $675 Million Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added WWK Investments to its broker-dealer, corporate registered investment advisor and custodial platforms. The family...
SEC Obtains Judgment Against Former LPL Broker that Ran $5 Million...
The Securities and Exchange Commission has obtained a final judgement against James T. Booth, a former LPL Financial broker who operated a Ponzi scheme...
Cetera’s Farpointe Wealth Partners Recruits $190 Million Team
Farpointe Wealth Partners LLC, an independent financial advice firm within the Cetera network, has added Schexnayder Wealth Advisors, a $190 million asset team led...
Team with $350 Million in Client Assets Returns to LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that New Jersey-based Foran Financial Group has returned to the firm. The team serves approximately...
LPL Financial Adds Former Hilltop Financial Advisor
LPL Financial LLC, the nation’s largest independent broker-dealer, has added former Hilltop Securities financial advisor Darrell Todd, who serves approximately $110 million in brokerage,...
LPL Financial Adds Former Stifel, Nicolaus Financial Advisor
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Tiger Blackwell to its newly launched independent employee model. Blackwell serves approximately...
Former UBS Duo Launch Indie Practice with LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that former UBS financial advisors Brendan Biruk and Dan Rattigan joined the firm and launched...
LPL Financial Recruits Former Kestra Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Florida-based FDR Financial Group Inc. to its broker-dealer and corporate RIA platforms, leveraging LPL...
FINRA Fines LPL $6.5 Million for “Supervisory Deficiencies”
The Financial Industry Regulatory Authority has issued a $6.5 million fine against LPL Financial, the nation’s largest independent broker-dealer, for failing to establish and...
LPL Financial Recruits Financial Advisor from J.P. Morgan Securities
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Bryan Schneider to its broker-dealer and corporate RIA platforms, leveraging LPL as...
