Tag: LPLA
LPL Financial Recruits Former Advisor Group Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Horizons Financial Group to its broker-dealer and corporate registered investment advisor platforms. The team...
LPL Adds Three-Advisor Team with $100 Million in Client Assets
LPL Financial LLC, the nation’s largest independent broker-dealer, has added three financial advisors, Shawn Walton, Debbie Hawksworth and Richard Coloni, to its broker-dealer and...
LPL Financial Recruits $180 Million Advisor from Northwestern Mutual
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Lyle Weintraub has joined its broker-dealer and hybrid registered investment advisor platforms...
LPL Recruits $150 Million Team Serving NFL Clients and Professional Athletes
LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited SilverRock Wealth Partners, a Charlotte, North Carolina-based team with approximately $150 million in brokerage...
LPL Financial Recruits $610 Million Team from Raymond James
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Global Advisor Group to its broker-dealer and hybrid registered investment advisor platforms.
Global Advisor Group...
LPL Recruits Credit Union Wealth Management Practice from Cetera
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Tarik Eldin and Mike Hastings with SCU Investment Services at Sacramento Credit Union to...
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....
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 Financial Adds Former First Allied Team to its Platform
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Sackman & Son Financial Services to its broker-dealer and corporate registered investment advisory platforms....
LPL Reports Earnings Surge During Second Quarter
LPL Financial, the nation’s largest independent broker-dealer, announced its financial results for second quarter ended June 30, 2018.
The company reported net income of $119...
LPL Nabs $415 Million Wealth Management Firm
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Rockline Wealth Management to its broker-dealer and corporate registered investment advisor platforms.
Based in Plainview,...
LPL Taps Former UBS Exec as New Managing Director and Head...
LPL Financial LLC., the nation’s largest independent broker-dealer, has named Richard Steinmeier as the firm’s new managing director and head of business development, effective...
LPL Nabs $330 Million Hybrid from Lincoln Financial
LPL Financial, a leading retail investment advisory firm and independent broker-dealer, has added Flood Financial Services to its broker-dealer and registered investment advisor platforms.
Based...
LPL Nearly Doubles Earnings in 1Q18, Provides Update on NPH Acquisition
LPL Financial, the nation’s largest independent broker-dealer, announced its financial results for the first quarter ended March 31, 2018 and gave an update on...
LPL Fined $26 Million Over Sales of Unregistered Securities
LPL Financial LLC., the nation’s largest independent broker-dealer, will pay a settlement totaling $26 million over the sale of unregistered securities, stemming from an...
LPL Financial Nabs Advisor Pair with $230 Million in Client Assets
LPL Financial, the nation’s largest independent broker-dealer, announced that Tom Anderton and Ryan Howard have joined the company and aligned with 626 Financial, an...
LPL Recruits Financial Advisor with $123 Million in Client Assets
LPL Financial, the nation’s largest independent broker-dealer, announced that Ric Kellogg has joined its broker-dealer platform and aligned with IHT Wealth Management, an independent...
LPL Financial Schedules First Quarter 2018 Earnings Release and Conference Call
LPL Financial LLC, the nation’s largest independent broker-dealer, will report first quarter financial results after the market closes on May 3, 2018. The company...
LPL Financial Completes NPH Acquisition
LPL Financial, the nation’s largest independent broker-dealer, has completed its acquisition of broker-dealer network National Planning Holdings Inc., which is comprised of INVEST Financial...
LPL Financial Retains $1.2 Billion Super OSJ
LPL Financial, the nation’s largest independent broker-dealer, has retained super OSJ, Advisors Southeastern Alliance, a $1.2 billion firm affiliated with Invest Financial Corporation. Advisors...
