Search for: "LPL FINANCIAL LLC"
Results 21 - 40
of 469
Sort by Relevance
|
Sort by Date
25 Oct 2023, 12:36 pm
Charles Connors LPL Financial LLC Transamerica Financial Advisors, Inc. [read post]
25 Oct 2023, 8:05 am
Morgan Stanley Timothy Claypool Northwestern Mutual Investment Services, LLC Farmers Financial Solutions, LLC Ebony Parks LPL Financial LLC Wells Fargo Clearing Services, LLC Rashawn Russell Deutsche Bank Securities Inc. [read post]
25 Oct 2023, 7:36 am
According to FINRA Disciplinary actions for August 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Joshua Lovings Harold Stephenson LPL Financial LLC Herrmann Securities, Inc. [read post]
19 Oct 2023, 11:55 am
LPL Financial LLC (2023) 91 Cal. [read post]
17 Oct 2023, 10:23 am
(CRD#:39543), Coral Springs, FL, 02/14/2018 – 09/08/2022, LPL FINANCIAL LLC (CRD#:6413), CORAL SPRINGS, FL02/13/2017 – 02/14/2018, INVEST FINANCIAL CORPORATION (CRD#:12984), FT LAUDERDALE, FL08/18/2011 – 09/27/2016, MIDDLEBURY SECURITIES LLC (CRD#:122602), BOCA RATON, FL08/20/2010 – 08/10/2011, STERNE AGEE FINANCIAL SERVICES, INC. [read post]
28 Sep 2023, 1:56 pm
Carlos Leston Had Been a Registered Broker Since 1998 According to his Brokercheck, Carlos Leston most recently was registered as a broker with LPL Financial LLC, located in Weehawken, New Jersey, from 2008 to 2022. [read post]
28 Sep 2023, 1:56 pm
Carlos Leston Had Been a Registered Broker Since 1998 According to his Brokercheck, Carlos Leston most recently was registered as a broker with LPL Financial LLC, located in Weehawken, New Jersey, from 2008 to 2022. [read post]
28 Sep 2023, 1:56 pm
Carlos Leston Had Been a Registered Broker Since 1998 According to his Brokercheck, Carlos Leston most recently was registered as a broker with LPL Financial LLC, located in Weehawken, New Jersey, from 2008 to 2022. [read post]
22 Sep 2023, 2:35 pm
Patrick Thayer Had Been a Registered Broker Since 2010 According to his Brokercheck, Patrick Thayer most recently was registered as a broker with LPL Financial LLC, located in Lebanon, Ohio, from 2020 to 2022. [read post]
22 Sep 2023, 2:35 pm
Patrick Thayer Had Been a Registered Broker Since 2010 According to his Brokercheck, Patrick Thayer most recently was registered as a broker with LPL Financial LLC, located in Lebanon, Ohio, from 2020 to 2022. [read post]
22 Sep 2023, 2:35 pm
Patrick Thayer Had Been a Registered Broker Since 2010 According to his Brokercheck, Patrick Thayer most recently was registered as a broker with LPL Financial LLC, located in Lebanon, Ohio, from 2020 to 2022. [read post]
22 Sep 2023, 2:01 pm
From 2009 to 2021, Morrison reportedly served as a broker and investment adviser with LPL Financial LLC, in its Southfield, Michigan office. [read post]
22 Sep 2023, 2:01 pm
From 2009 to 2021, Morrison reportedly served as a broker and investment adviser with LPL Financial LLC, in its Southfield, Michigan office. [read post]
22 Sep 2023, 2:01 pm
From 2009 to 2021, Morrison reportedly served as a broker and investment adviser with LPL Financial LLC, in its Southfield, Michigan office. [read post]
20 Sep 2023, 11:39 am
On July 25, 2023, the Financial Industry Regulatory Authority (FINRA) issued a Letter of Acceptance, Waiver, and Consent (AWC) against LPL Financial LLC, a prominent independent securities broker headquartered in Fort Mill, South Carolina. [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]
7 Aug 2023, 12:43 pm
Between the years of March 2009 and September 2016, Winchester was associated with LPL Financial and then later created a partnership with Raymond James. [read post]
31 Jul 2023, 12:40 pm
(CRD#:7059), NEW YORK, NY IA, 12/03/2012 – 11/16/2016, LPL FINANCIAL LLC (CRD#:6413), ARDSLEY, NY B, 11/30/2012 – 11/16/2016, LPL FINANCIAL LLC (CRD#:6413), ARDSLEY, NY Clarice Saw’s BrokerCheck record indicates three customer complaints have been filed against her. [read post]
24 Jul 2023, 10:51 am
According to her FINRA broker report, Lynn Bryant was reportedly affiliated with the following firms during her career, among others: B , 10/24/2007 – 10/07/2022 , LPL FINANCIAL LLC (CRD#:6413) , HURST, TX B , 07/14/2000 – 10/25/2007 , RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
21 Jul 2023, 8:11 am
(CRD# 6694), LPL Financial LLC (CRD# 6413), Suntrust Investment Services, Inc. [read post]
