Search for: "LPL Financial, LLC"
Results 241 - 260
of 466
Sorted by Relevance
|
Sort by Date
25 Oct 2016, 6:29 am
LPL Financial, the nation’s largest independentbroker-dealer, is still planning to offer a commission-based option to investors. [read post]
1 Sep 2020, 11:52 am
According to his FINRA BrokerCheck report, Clason is currently registered with LPL Financial in Glastonbury, CT. [read post]
1 Sep 2023, 6:44 am
(CRD# 7059) of New York, NY, and LPL Financial LLC (CRD# 6413) of Ardsley, NY. [read post]
6 Dec 2013, 1:41 pm
As a result, he was fired from LPL Financial. [read post]
27 Apr 2015, 6:29 am
From 1989 to present Romero has been registered with LPL Financial, LLC (LPL). [read post]
13 Oct 2016, 6:27 am
LPL Financial achieved the highest net rep growth at 505 and Raymond James came in second with a net growth of 322 reps. [read post]
21 Jul 2023, 8:11 am
(CRD# 6694), LPL Financial LLC (CRD# 6413), Suntrust Investment Services, Inc. [read post]
4 Jun 2020, 8:18 am
Esh was reportedly registered with LPL Financial in Shawnee, KS from March 2018 until July 2019. [read post]
15 Sep 2020, 7:52 am
Dain Stokes (CRD: #2960801) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Bedford, NH. [read post]
22 Mar 2016, 6:19 am
Since 2006 Moore has been registered with LPL Financial LLC out of the firm’s Alexander City, Alabama office location. [read post]
28 May 2021, 10:52 am
LPL Financial LLC Zachary Bader National Securities Corporation Craig Scott Capital, LLC Peter Brown Oppenheimer & Co. [read post]
19 Aug 2022, 9:37 am
According to FINRA Disciplinary actions for Aug 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrew Edenbaum Allliance Global Partners National Securities Corporation Keith Esp Vanderbilt Securities, LLC LPL Financial LLC Karl Foust Jr. [read post]
10 Jan 2012, 3:36 pm
National Retirement Partners Inc., which is NRP Financial’s parent, sold its assets to LPL for $27M. [read post]
15 Nov 2016, 3:32 pm
From April 2007 until December 2015 Barranco was registered with LPL Financial LLC out of the firm’s Montgomery, Alabama office location. [read post]
4 Nov 2015, 11:09 am
They were fined a cumulative total of $18.4 million according to FINRA’s most recent announcement.This follows a similar type of case three months earlier in which Wells Fargo, Raymond James, and LPL Financial were fined a combined $30 million for improper charging of fees. [read post]
5 Jan 2024, 1:41 pm
John Goodwin LPL Financial LLC MML Investors Servies, LLC Jane Terry Raymond James Financial Services, Inc. [read post]
10 Jun 2013, 1:50 pm
Edwards & Sons from 01/2004-06/2006, Merrill Lynch from 06/2006-10/2011, and LPL Financial from 11/2011-11/2012. [read post]
22 Sep 2021, 6:54 am
LPL Financial LLC Bradley Gardner LPL Financial LLC Golden State Wealth Management, LLC Brian O’Neill Fisher Investments ProFunds Distributors, Inc. [read post]
9 Nov 2021, 7:18 am
(CRD#:39543), Moorestown, NJ07/11/2018 – 07/31/2018, LPL FINANCIAL LLC (CRD#:6413), MOORESTOWN, NJ01/25/2010 – 08/21/2019, SAGEPOINT FINANCIAL, INC. [read post]
15 Nov 2017, 6:21 pm
Finally, from 2004 to 2017, Camarco was associated with LPL Financial LLC. [read post]
