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 ...

LPL Financial recruited a father-and-son advisor team from UBS that previously oversaw approximately $1.3 billion in advisory, brokerage, and retirement plan assets.

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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

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 ...