LPL Financial

A little-noticed change to "overflow" money will push down customers' yields at a time of rapidly rising interest rates — unless they opt out.

CEO Dan Arnold says the firm is eyeing continued records in its headcount, despite the usual dropoff in broker moves during downturns.

A Mexican-American couple who sought safety and diversification north of the border say they found fraud, negligent supervision and concealment.

The RIA’s customers didn’t receive adequate explanation of its conflicts of interest from no-transaction-fee mutual funds, the regulator says.

The Financial Services Network viewed its relationship to LPL as a “dealbreaker.” So Marty Bicknell’s giant RIA is making room.

In the latest sign of big wealth managers displaying some flexibility, Marty Bicknell’s team unveiled another collaboration with a firm often considered a rival.

Announcements involving Fidelity, LPL, BNY Mellon and other well-known firms signal how talent and capital are shaping the industry's future.

Commissioner Hester Peirce said an enforcement matter relating to a million-dollar fraud case fits a “sound” framework for charging compliance officers.

Laura LaTourette and Ramona Maior are teaming up with the goal of connecting with more planners and allies who share common experiences.

A major recruiting move and a large acquisition reflect a marketplace that experts say hasn’t been negatively affected by volatility, inflation or rising interest rates.