LPL Financial

The firm’s principal says his team wanted to join the No. 1 IBD, which is testing larger recruiting offers.

Wealth Enhancement Group has nearly doubled its assets over a two-year period.

The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.

Other states are likely to enter similar agreements with the broker-dealer.

At least seven firms with outside RIAs have left the No. 1 IBD since it announced a change in policies last November.

Shifts in the annual ranking of the nation's independent broker-dealers show how pressure on IBDs is intensifying.

The nation's largest IBDs are growing again, but are they innovating fast enough to keep up with the industry's transformation?

This interactive tool provides the full collection of data from Financial Planning's 33rd annual study of the largest firms in the space.

Thirteen of the top 25 companies generated double-digit growth in 2017 as rivals close in on the perennial No. 1 firm.

At least six RIAs have left since the No. 1 IBD announced a change in policies last November.

LifeYield unveiled its second agreement with an IBD to offer its software, which had previously only been available to large institutional clients.

The broker-dealer refuted allegations that it used false advertising to mislead customers into thinking that the investment services it provided through a Utah-based credit union were part of the credit union.

If Cetera ties itself to a culturally unmatched firm, the roadblocks it creates for itself may be too much to overcome, an industry recruiter says.

Independent Financial Partners’ CEO predicts the firm will retain about 80% of its business, despite a daunting series of challenges.

Commonwealth Financial Network founder Joe Deitch answers rapid-fire questions on everything from writing his first book, to the person he finds most interesting, in this Lightning Round video.

The firm broke off from its OSJ and followed four others of its type in leaving the No. 1 IBD after a change in its RIA rules.

The securities watchdog reprimanded the broker-dealers for allegedly not distinguishing their services from those of the credit unions they did business with.

The largest IBD network is integrating data analytics into its recruiting and client leads after embarking on other major changes in recent months.

The No. 1 IBD has completed the NPH acquisition, but CEO Dan Arnold unveiled further growth initiatives amid challenges to its dominance.

State regulators and the No. 1 IBD struck a settlement after investigators found the firm guilty of negligence and a failure to supervise.