LPL Financial Welcomes Bruen Wealth Management
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 ...
Compliance Week8d
SEC fines LPL Financial $18M for failed due diligence on new, high-risk accounts
Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...
Nasdaq8d
LPL Financial Enhances Marketing Solutions with New Digital Marketing Platform to Boost Advisor Client Engagement and Business Growth
LPL Financial LLC has launched an enhanced suite of Marketing Solutions to assist financial advisors in strengthening client relationships and driving business growth. This includes a new Digital ...
Financial Planning6y
LPL Financial’s largest termination ever
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 ...
Business Insider1mon
LPL Financial Reports Monthly Activity for November 2024
SAN DIEGO, Dec. 17, 2024 (GLOBE NEWSWIRE) -- LPL Financial LLC (“LPL ... separation from misaligned large OSJs. Prior to these impacts, organic net new assets were $8.6 billion, translating ...