LPL Financial

Rivals will be waiting to seize on any changes that may irk some 4,400 representatives poised to operate under a new parent IBD network.

Supervisory failures at LPL Financial, J.P. Morgan Securities, Morgan Stanley, Merrill Lynch and Citigroup prevented assets from moving to beneficiaries on time.

A former rep has drawn at least 30 claims after pleading guilty to fraud, while clients of another ex-LPL advisor are seeking damages five years after his initial arrest.

It has been a banner year for regional BDs as more than 400 planners joined the fold, according to hiring data analyzed by On Wall Street.

More wealth management professionals are using Twitter to network and push for change.

Integrated Partners added a family office practice eyeing wirehouse breakaways as part of a dozen recruiting grabs for the No. 1 IBD and its OSJs.

The LPL Financial advisor is using his new influence to help firms create policies to prevent sexual harassment.

Denika Tokunaga says breaking into the profession can be difficult if you don’t fit into the traditional image of a financial advisor. Here’s how she did it.

CEO Dan Arnold described the firm's multipronged strategy for further growth.

Joseph Mazzucco and at least two dozen other advisors affiliated with the No. 1 IBD in eight moves over a seven-week span.

Beyond eye-popping prices and assets changing hands, record M&A is altering the structure of the industry.

A Kingdom Advisors support group at LPL brings together representatives around the growing professional title.

The No. 1 IBD’s Focus conference drew 4,000 advisors, but it faces friction ahead in its ongoing expansion.

At her new OSJ, Laura LaTourette is teaming up with fellow influential planner Marci Bair to help educate allies and create more avenues for reps to meet.

Bleakley Financial has recruited advisors with $750 million in client assets since January 2018 alongside LPL’s substantial recent grabs.

The new recruits join the firm’s employee channel from both wirehouses and the independent space.

At least two clients said they received calls from the advisor where he discussed his departure from the firm, according to the complaint.

Lightyear Capital sold its majority stake in Wealth Enhancement Group to another wealth management industry entrant.

Dan Arnold deployed a five-pronged argument for why consolidation is a recruiting boon for the No. 1 IBD.

Integrated Partners added a father-son team, surpassing its recruited client assets from the previous year.