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]
26 May 2015, 11:32 am
In 2007, LPL Financial Holdings, Inc., LPL’s parent company, expanded LPL’s broker-dealer business by acquiring other financial services firms and recruiting registered representatives from other broker-dealers. [read post]
29 Nov 2011, 6:28 pm
LPL Financial is a LPL Investment Holdings Inc. division. [read post]
30 Jul 2012, 11:14 am
The matter at hand is slightly complicated by the fact that NRP Financial Inc. was purchased by LPL Investment Holdings Inc. in July of 2010. [read post]
28 Oct 2011, 5:52 am
That is on top of 22 Uvest brokers who left the firm in the third quarter, Robert Moore, chief financial officer of the broker-dealer's holding company, LPL Investment Holdings Inc., said in an interview according to InvestmentNews.com. [read post]
16 May 2007, 12:30 pm
Linsco Private Ledger (LPL) has apparently warned competitor National Planning Holdings, Inc. [read post]
4 Sep 2015, 4:47 am
From March 2004, until March 2008, Caniford was associated with M Holdings Securities, Inc. [read post]
25 Jul 2009, 11:23 am
On July 24, 2009, it was reported that LPL Investment Holdings Inc. of Boston and Ameriprise Financial Inc. [read post]
28 Jan 2013, 6:15 am
Last May, Finra ordered broker-dealers of four major banks, Wells Fargo & Co., Citigroup Global Markets Inc., Morgan Stanley and UBS Financial Services Inc., to pay $9.1 million in fines and restitution for selling such funds “without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
19 Feb 2014, 10:36 am
Defendant LPL Financial LLC (“LPL Financial”) is a wholly-owned subsidiary of defendant LPL Holdings, Inc. [read post]
4 Jun 2014, 5:41 am
During a three-week period, spanning from on or about October 26, 2010 through on or about November 17, 2010, while registered with LPL Financial, Werbel allegedly solicited eight customers to invest in QLotus Holdings Inc. [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]
10 Jan 2012, 3:36 pm
National Retirement Partners Inc., which is NRP Financial’s parent, sold its assets to LPL for $27M. [read post]
8 Sep 2014, 6:23 am
Cole Financial, 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]
15 Nov 2017, 6:21 pm
Finally, from 2004 to 2017, Camarco was associated with LPL Financial 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 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]
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]
