Search for: "LPL Financial Holdings, Inc."
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14 Jul 2016, 7:16 am
LPL is a broker-dealer, meaning it holds accounts and assets and executes financial transactions. [read post]
16 Aug 2010, 9:17 pm
It was during this time that the fund sold credit default swaps on beleaguered companies, including Tribune Co., Lehman Brothers Holdings Inc., General Motors Corp, and American International Group Inc. [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]
3 May 2010, 8:56 pm
Uvest, a unit of LPL Investment Holdings Inc., with a $29,505,358 average AUM/rep 6. [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]
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]
30 Oct 2013, 11:47 am
Recently, a FINRA arbitration panel awarded an elderly couple $1.4 million in compensatory damages against LPL Financial, LLC for their role in promoting TIC investments. [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]
17 Dec 2010, 9:00 am
Some of them are the Ameriprise Financial Services, Wells Fargo Advisors, LPL Financial, and Edward Jones, Charles Schwab, Chase Investment Services, Morgan Stanley Smith Barney, Raymond James, Merrill Lynch and some others. [read post]
1 Aug 2012, 5:51 am
William Dwyer, President, National Sales and Marketing, LPL Financial Kenneth D. [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]
19 Oct 2023, 11:55 am
LPL Financial LLC (2023) 91 Cal. [read post]
2 Jan 2024, 10:01 am
LPL Financial LLC , 91 Cal. [read post]
