Search for: "LPL FINANCIAL LLC"
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6 Dec 2021, 12:36 pm
Procyon Private Wealth Partners LLC Alvaro Paiz Edward Jones LPL Financial LLC Gregory Rachele H.D. [read post]
6 Dec 2021, 9:58 am
LPL Financial Corporation Juanita O’Neal TD Ameritrade, Inc. [read post]
3 Dec 2021, 1:29 pm
By this time, Kaplan had left Wells Fargo and became broker and an investment advisor with LPL Financial. [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]
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]
5 Nov 2021, 11:36 am
FINRA has suspended former LPL Financial LLC broker Michael Miles Hartlett from the securities industry for ten business days. [read post]
2 Nov 2021, 7:24 am
FINRA has barred former LPL Financial LLC broker Eric Shea Hollifield from the securities industry. [read post]
19 Oct 2021, 6:21 am
According to records kept by FINRA Bedwell was employed by LPL Financial LLC (LPL Financial) at the time of the activity. [read post]
8 Oct 2021, 10:45 am
” According to his FINRA Broker Report, Hollifield was affiliated with the following firms, among others: 10/14/2016 – 09/10/2021, LPL FINANCIAL LLC (CRD#:6413), DACULA, GA09/19/2008 – 11/11/2016, STERNE AGEE FINANCIAL SERVICES, INC. [read post]
FINRA Bars John Edgar Simmons, Jr. After Allegations Of Engaging In A Private Securities Transaction
7 Oct 2021, 12:31 pm
(CRD: #4878890) is a former registered broker and insurance advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Gulf Breeze, FL. [read post]
22 Sep 2021, 12:47 pm
Morgan Securities LLC Tara Pierce LPL Financial LLC Investment Centers of America Inc. [read post]
22 Sep 2021, 12:35 pm
Morgan Securities LLC Jameson Shin LPL Financial LLC Wells Fargo Advisors, LLC Joseph Stengel LPL Financial LLC Pruco Securities, LLC Philip Zaczek Valic Financial Advisors, Inc. [read post]
22 Sep 2021, 7:24 am
Eileen Kenny LPL Financial LLC Private Advisor Group, LLC Norma Kuklis William Kursim Fidelity Brokerage Services LLC National Financial Services LLC Joseph Switzer Sr. [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]
13 Sep 2021, 6:35 am
According to BrokerCheck records, Schmidt is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm LPL Financial LLC (LPL Financial) out of the firm’s Worcester, Massachusetts office location. [read post]
4 Sep 2021, 5:52 am
FINRA has suspended and fined former LPL Financial LLC broker Joffre Salazar from the securities industry for one year. [read post]
23 Aug 2021, 12:14 pm
David Volpe (David John Volpe CRD# 2543478) is a former registered broker who has previously worked for First Financial Equity Corporation, LPL Financial LLC, and National Planning Corporation, all in Scottsdale, Arizona. [read post]
2 Aug 2021, 9:39 am
Kevin McCallum was reportedly affiliated with the following firms during his career in the securities industry: 05/24/2012 – 07/05/2019, LPL FINANCIAL LLC (CRD#:6413), BIRMINGHAM, AL 10/30/2009 – 05/23/2012, NBC SECURITIES, INC, (CRD#:17870), BIRMINGHAM, AL 04/09/2007 – 11/06/2009, COLONIAL BROKERAGE, INC. [read post]
26 Jul 2021, 8:00 am
FINRA has barred former LPL Financial LLC broker Jason LaBelle from the securities industry. [read post]
26 Jul 2021, 7:28 am
Labelle was reportedly affiliated with LPL Financial in Pittsfield MA from 2014 until December 2019. [read post]
