William “Bill” Bruen Jr. and his son Andrew join an existing LPL practice after spending more than a decade at UBS.

The wealth management business of the world's largest credit union and its 14 million members opted to choose its own ...

LPL Financial (NASDAQ:LPLA – Get Free Report) is anticipated to issue its quarterly earnings data after the market closes on ...

Securities and advisory services offered through LPL Financial (LPL), a registered investment advisor and broker dealer, member FINRA/SIPC. LPL Financial and its affiliated companies provide financial ...

The Securities and Exchange Commission alleges that LPL didn’t adhere to an organized process for addressing restrictions on ...

SEC charges describe multiple failures in customer identification programs and shortfalls related to high-risk accounts ...

LPL and Wintrust Financial Corporation signed an agreement in February 2024. On January 25, about $15 billion of brokerage and advisory assets were onboarded to LPL. The remaining $1 billion of assets ...

The case reflects the extent of industry efforts — and failures to enforce — guidelines such as customer identification programs.

Consumer confidence fell this month mainly on a “softer” jobs market, according to LPL Financial Chief Economist Jeffrey Roach. An index of consumer confidence fell in January for a second straight ...

The PE-backed wealth platform is expanding across Colorado and Idaho while broker-dealer giant LPL welcomes a ...

Two Wells Fargo-affiliated investment advisers and Merrill Lynch agreed to pay $60 million, while LPL Financial agreed to pay ...

Anthony Calomeni, a financial advisor at Heffernan Financial Services in Walnut Creek today announced that his achievements have been recognized with inclusion in LPL Financial's Masters Club Program* ...