Search for: "LPL FINANCIAL LLC"
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13 Dec 2016, 7:30 am
According to FINRA BrokerCheck, Fackrell was a registered representative with LPL Financial during the relevant time. [read post]
15 Nov 2016, 3:32 pm
From April 2007 until December 2015 Barranco was registered with LPL Financial LLC out of the firm’s Montgomery, Alabama office location. [read post]
31 Oct 2016, 7:46 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by LPL Financial LLC (LPL) involving broker Kevin Kuhlow (Kuhlow) out of the firm’s Los Gatos, California office. [read post]
27 Oct 2016, 6:15 am
Lebel worked for LPL Financial from 2008 to 2014. [read post]
26 Oct 2016, 7:51 am
Lebel was a broker and former representative of registered broker-dealer and investment advisor, LPL Financial LLC (“LPL”). [read post]
25 Oct 2016, 6:29 am
LPL Financial, the nation’s largest independentbroker-dealer, is still planning to offer a commission-based option to investors. [read post]
19 Oct 2016, 6:58 am
According to FINRA BrokerCHeck, Tauzin was registered with LPL Financial, LLC in Lafayette, LA from 09/2009 – 11/2014. [read post]
13 Oct 2016, 6:27 am
LPL Financial achieved the highest net rep growth at 505 and Raymond James came in second with a net growth of 322 reps. [read post]
27 Sep 2016, 7:34 am
LPL also plans on cutting prices and easing minimums on some of its internally managed model wealth portfolios in anticipation of the DOL fiduciary rule.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
6 Sep 2016, 3:04 pm
Resch is currently registered to sell securities with LPL Financial LLC in the broker-dealer’s Morristown, New Jersey office, according to her publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
6 Sep 2016, 3:04 pm
Resch is currently registered to sell securities with LPL Financial LLC in the broker-dealer’s Morristown, New Jersey office, according to her publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
15 Aug 2016, 9:01 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [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]
13 Jun 2016, 6:41 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Brian Smit (Smit) formerly working out of the Sioux Falls, South Dakota office of LPL Financial LLC (LPL). [read post]
6 May 2016, 6:41 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
21 Apr 2016, 12:07 pm
The investments reportedly included “Robin Hood, LLC,” “Robinhood LLC”, “Robin Hood Holdings, LLC,” “Robinhood Holdings, LLC. [read post]
17 Apr 2016, 2:15 pm
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
4 Apr 2016, 10:29 am
From December 2012 until April 2015, Shaw was registered with LPL Financial LLC. [read post]
22 Mar 2016, 3:25 pm
In addition to operating his own business in Ohio, he was registered with M Holdings Securities from 03/2004 – 03/2008 and LPL Financial from 03/2008 – 03/2015. [read post]
22 Mar 2016, 6:19 am
Since 2006 Moore has been registered with LPL Financial LLC out of the firm’s Alexander City, Alabama office location. [read post]
