Search for: "LPL Financial Holdings, Inc."
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1 May 2024, 10:16 pm
LPL Financial Holdings Inc. serves nearly 23,000 financial advisers and manages over $1.44 trillion in advisory and brokerage assets as of March 31, 2024. [read post]
2 Jan 2024, 10:01 am
LPL Financial LLC , 91 Cal. [read post]
19 Oct 2023, 11:55 am
LPL Financial LLC (2023) 91 Cal. [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]
12 Apr 2021, 11:33 am
LPL then bought Invest Financial and three other broker-dealers that were part of the National Planning Holdings network, FINRA states. [read post]
12 Apr 2021, 11:33 am
LPL then bought Invest Financial and three other broker-dealers that were part of the National Planning Holdings network, FINRA states. [read post]
4 Dec 2020, 1:55 pm
Bancorp Investments, Inc. [read post]
22 Sep 2020, 2:32 am
Come September 2005 and until August 2009, Kassaei was registered with LPL Financial Corporation. [read post]
22 Sep 2020, 2:32 am
Come September 2005 and until August 2009, Kassaei was registered with LPL Financial Corporation. [read post]
8 May 2020, 9:47 am
Morgan Securities LLC Chase Investment Services Corp David Del Rio LPL Financial LLC Suntrust Investment Services, Inc. [read post]
11 Oct 2019, 5:32 am
LPL then bought Invest Financial and three other broker-dealers that were part of the National Planning Holdings network, FINRA states. [read post]
11 Oct 2019, 5:32 am
LPL then bought Invest Financial and three other broker-dealers that were part of the National Planning Holdings network, FINRA states. [read post]
25 Apr 2019, 10:59 am
(Capital Financial), in May 2017, was discharged from his employer LPL Financial LLC (LPL) due to allegations that he violated the firm’s policies regarding outside business activities. [read post]
3 Jan 2019, 5:54 am
Inc Flores, Daniel Woodbury Financial Services, Inc Princor Financial Services Corp Giraldo, Jose Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Assoc, Inc Heitz, Donald LPL Financial LLC First Command Financial Planning, Inc Jenkins, Elisabeth LPL Financial LLC ESL Investment Services, LLC … [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers Associates… [read post]
3 Oct 2018, 2:40 pm
LPL Financial (LPLA) purchased SII Investments last year when it bought National Planning Holding from insurer Jackson National. [read post]
30 Nov 2017, 3:46 pm
SII is an independent broker-dealer within National Planning Holdings, which was recently acquired by Boston-based LPL Financial. [read post]
15 Nov 2017, 6:21 pm
Finally, from 2004 to 2017, Camarco was associated with LPL Financial LLC. [read post]
14 Jul 2016, 7:16 am
LPL is a broker-dealer, meaning it holds accounts and assets and executes financial transactions. [read post]
4 Sep 2015, 4:47 am
From March 2004, until March 2008, Caniford was associated with M Holdings Securities, Inc. [read post]
