Search for: "LPL Financial Corporation"
Results 1 - 20
of 126
Sort by Relevance
|
Sort by Date
22 Apr 2024, 1:15 pm
LPL Financial LLC Wells Fargo Clearing Services, LLC Chun Elmejjad Equitable Advisors, LLC AXA Advisors, LLC Jonathan Gervaise Jackson National Life Distributors LLC Pruco Securities, LLC Jonathan Long Cambridge Investment Research, Inc. [read post]
13 Feb 2024, 10:47 am
Broker Brett Hartvigson was reportedly affiliated with the following firms during his career, among others: 04/06/2009 – 10/27/2023, INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717), SAN DIEGO, CA, B, 02/24/2006 – 05/29/2009, LPL FINANCIAL CORPORATION (CRD#:6413), SAN DIEGO, CA B, 07/01/2002 – 02/27/2006, THRIVENT INVESTMENT MANAGEMENT INC. [read post]
5 Jan 2024, 10:01 am
National Securities Corporation Isaiah Frection NYLife Securities LLC Johnathan Hagood Wells Fargo Clearing Services, LLC Christopher Lynch Pruco Securities, LLC LPL Financial LLC John Rabulan NYLife Securities LLC Dennis Riordan Wynston Hill Capital, LLC Aeon Capital Inc Adriano Schultz J.P. [read post]
7 Dec 2023, 2:06 pm
His previous employers include LPL Financial LLC (CRD# 6413), also of Coral Springs, Invest Financial Corporation (CRD# 12984) of Fort Lauderdale, and Middlebury Securities LLC(CRD#122602) of Boca Raton. [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]
10 Aug 2023, 1:56 pm
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
13 Jul 2023, 8:18 am
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
22 Jun 2023, 7:35 am
LPL Financial, previously known as Linsco Private Ledger, made a similar move leading up to its 2010 IPO, according to the article. [read post]
22 Jun 2023, 6:27 am
Pace Supply Corporation v. [read post]
14 Apr 2023, 9:24 am
According to FINRA Disciplinary actions for March 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 Kenwyn Belkot LPL Financial LLC FSC Securities Corporation Robert Calamunci Sr. [read post]
13 Mar 2023, 4:17 am
(Financial Advisor IQ by Glenn Koch) Joint Statement by Department of the Treasury, Board of Governors of the Federal Reserve System, and Federal Deposit Insurance Corporation (March 12, 2023) ... [read post]
13 Mar 2023, 4:17 am
National Securities Corporation (4 Cir Opinion) ... [read post]
30 Dec 2022, 7:37 am
LLC RBC Capital Markets, LLC Cedric Wade LPL Financial LLC National Planning Corporation FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
11 Nov 2022, 9:07 am
LLC RBC Capital Markets, LLC Cedric Wade LPL Financial LLC National Planning Corporation For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
27 Sep 2022, 11:48 am
Her last known employer was LPL Financial LLC (CRD#:6413) of West Palm Beach, FL. [read post]
22 Sep 2022, 8:41 am
Dustin Goss Park Avenue Securities LLC Edward Jones Yang Liang NYLIFE Securities LLC James Merrill Independent Financial Group, LLC LPL Financial Corporation William Nicoloff Jr. [read post]
14 Sep 2022, 7:31 am
According to his FINRA Broker report, Bailey was reportedly affiliated with the following firms, among others during his career in the securities industry: 02/27/2009 – 07/16/2020, LPL FINANCIAL LLC (CRD#:6413), WORCESTER, MA, 02/01/2006 – 02/27/2009, LINCOLN FINANCIAL SECURITIES CORPORATION (CRD#:3870), WORCESTER, MA The Financial Industry Regulatory Authority (FINRA) reportedly barred Couture in October 2020 after… [read post]
2 Sep 2022, 6:54 am
Additionally, in July 2018, Melilli was registered with LPL Financial LLC. [read post]
28 Aug 2022, 9:45 am
From September 2004 through September 2010, Serizawa was registered with LPL Financial Corporation. [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]
