LPL Financial

After investing millions in new platforms and preparing thousands of advisers, executives say they've come too far to reverse course.

The firm says it could delay changes it pledged to make to comply.

The firm says it "terminated" its relationship with the large OSJ. It’s the third large split in two months.

Once a top-producing planner at LPL, Carson now possesses a direct line to the CEO.

The large community bank will look to LPL to help the investment services business meet the requirements of the fiduciary rule.

The executive suite transition has been years in the making.

One of the recruits has more than two decades of experience.

The regulator said "significant deficiencies" affected hundreds of millions of records.

The model for financial advice "is primed and ready for change," says Cetera CEO Robert Moore.

The potential for the fiduciary rule to be scuttled by the Trump administration helped drive the decision, sources say.

Casady provides both consistency and a fresh approach, leaders of the firm's OSJs say.

President Dan Arnold will be tasked with managing the rollout of new digital technologies and implementing the fiduciary rule.

The president and former CFO will step up at a critical time for the nation’s largest IBD amid competitive threats and pressure to boost its stock price.

The firm’s review process is called "paper-thin" after an adviser is charged with selling retirees unsuitable variable annuities and fabricating client information.

Fiduciary rule preparation and new technology lures Integrated Financial Partners.

The recruits switched over to the independent channel of the regional firm.

A $650M firm serving HNW clients wanted help "navigating regulatory change."

Amid reports of a possible sale, assets rise and expenses fall.

Paul T. Lebel excessively traded shares that carried large front-end loads and "willfully disregarded the customers' interest," the agency said.

News that LPL may be looking for suitors comes at a time of financial pressure for the country's largest independent broker-dealer.