LPL Financial, a subsidiary of LPL Financial (LPLA), announced that Wintrust Financial Corporation (WTFC) has transitioned support of the ...

Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...

In 2014, when LPL Financial CEO Mark Casady learned that his friend, the broker James E. “Jeb” Bashaw, was being investigated by the firm over two separate million-dollar loans by a client as ...

As part of a flurry of moves in the last days of the Biden administration, the Securities and Exchange Commission announced charges against broker/dealer and investment advisor LPL Financial for ...

SAN DIEGO, Jan. 22, 2025 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisors Brian J. McGill, II, CFP®, and Michael R. Hyser, CFP®, have joined LPL Financial’s broker ...

Stock analysts at Zacks Research raised their FY2024 EPS estimates for LPL Financial in a research report issued to clients and investors on Tuesday, January 21st. Zacks Research analyst R. Department ...

LPL Financial Holdings has agreed to pay an $18 million fine and to improve its anti-money laundering program to settle charges from the U.S. securities watchdog. The Securities and Exchange ...

LPL Financial LLC has announced that Prestige Wealth Group (PWG), led by partners Rich Galgano, CFP®, and Matt Geraci, CFP®, has joined its broker-dealer, RIA, and custodial platforms ...

SAN DIEGO, Jan. 15, 2025 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisors Larry Forlenza, CRPC®, and Carl Hanks, CRPC®, have joined LPL Financial’s broker-dealer ...

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 ...