Search for: "LPL FINANCIAL LLC"
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12 Apr 2021, 11:33 am
Broker dealers like LPL Financial LLC owe a duty to supervise their brokers and ensure that their customers’ funds are invested appropriately and breaching these duties could make them liable for the losses incurred by the investors. [read post]
4 Oct 2018, 2:25 pm
From July 2010 until January 2017 Woods was registered with LPL Financial LLC. [read post]
19 Aug 2022, 7:33 am
Christopher McFadden Equitable Advisors, LLC LPL Financial LLC John Molskness Valic Financial Advisors, 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]
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]
19 Jan 2012, 7:34 am
Cook – Oberlin Financial, National Retirement Partners (or NRP Financial), and LPL Financial (the firm that acquired NRP Financial). [read post]
7 Jun 2024, 6:19 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Ian Geeves Vanderbilt Securities, LLC LPL Financial LLC Ned Seitler Charles Schwab & Co., Inc. [read post]
2 Feb 2016, 9:54 am
He also failed to notify his broker-dealer, LPL Financial, of his position as managing partner of two LLCs and his opening an account with an outside broker-dealer.Ronald W. [read post]
9 Nov 2017, 2:46 pm
From November 2008 until October 2013 McMurray was associated with LPL Financial LLC. [read post]
16 Jun 2023, 9:54 am
Morgan Securities LLC Mulan Greenway Joshua Lovings Josette Santos Wells Fargo Clearing Services, LLC Harold Stephenson LPL Financial LLC Herrmann Securities, Inc. [read post]
30 Nov 2023, 2:02 pm
(CRD#:39543), Coral Springs, FL, B, 12/15/2021 – 09/08/2022, LPL FINANCIAL LLC (CRD#:6413), CORAL SPRINGS, FLB, 05/19/2015 – 12/07/2015, MIDDLEBURY SECURITIES LLC (CRD#:122602), WEYBRIDGE, VT The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
7 Aug 2023, 12:43 pm
Between the years of March 2009 and September 2016, Winchester was associated with LPL Financial and then later created a partnership with Raymond James. [read post]
8 May 2019, 6:50 am
In August 2018 Lamkin’s then employer, LPL Financial LLC (LPL) terminated Lamkin claiming that advisor received and/or benefited from loans from firm customers, failed to disclose and inadequately disclosed outside business activities, and personally engaged in and solicited other investors to participate in private investments without obtaining Firm approval. [read post]
4 Dec 2020, 12:49 pm
Fidelity Brokerage Services LLC Ignacio Del Campo Epic Capital Securities Corp Insigneo Securities, LLC Caleb Hutzler LPL Financial LLC Northwestern Mutual Investment Services, LLC Narongdej Jaroensabphayanont Voya Financial Advisors, Inc. [read post]
15 Feb 2023, 9:52 am
Most recently he was registered with LPL Financial in New Bedford MA. [read post]
28 May 2021, 10:12 am
LPL Financial LLC For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
28 May 2021, 1:27 pm
Michael Goonan Equitable Advisors, LLC Park Avenue Securities LLC Eileen Kenny LPL Financial LLC Private Advisor Group, LLC Norma Kuklis William Kursim Fidelity Brokerage Services LLC National Financial Services LLC John Margain State Farm VP Management Corp. [read post]
27 Jul 2018, 7:54 am
From December 2009 until January 2011 Scholl was associated with LPL Financial LLC. [read post]
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]
12 Jul 2018, 6:04 am
From 1995 to 2015, Varma was registered with LPL Financial LLC. [read post]
