Search for: "LPL Financial, LLC"
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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]
7 Jul 2021, 2:01 pm
Morgan Securities LLC Amanda Berry MML Investors Services, LLC NYLife Securities LLC Tiffany Burgess James Carpenter II Simplified Wealth Management LPL Financial LLC Jinnie Chean Allstate Financial Services, LLC Paul Furusho AWA Capital, Inc Comprehensive Asset Management & Servicing, Inc. [read post]
7 Jul 2021, 1:51 pm
Margarita Medina LPL Financial LLC Wells Fargo Advisors, LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
24 Jun 2021, 4:58 pm
FINRA has suspended former LPL Financial LLC broker Eric Burton from the securities industry for 3 months for allegedly falsifying documents that he submitted to LPL in connection with twenty two variable annuity (“VA”) exchanges. [read post]
