LPL Financial

The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.

LPL Financial, Cetera Financial Group, Raymond James, Ameriprise and other industry giants drove a much bigger volume of transitions this year.

Three financial giants have published reports on what they expect in 2024 — and they're surprisingly optimistic. Here's what they see coming.

The deal displays the growing flexibility LPL is offering financial advisors as part of its ambition to reach the entire wealth management marketplace.

In remarks at a Goldman Sachs investor conference, Dan Arnold discussed the potential rule and shared his view of the industry's competitive landscape.

The giant independent broker-dealer said Wednesday that it had created a new channel to target wirehouse advisors with high net worth practices.

The leading IBD firm is eager to dominate the entire advisor industry, following another strong quarter for recruiting.

CEO Dan Arnold said on the firm's last earnings call that the tools were "receiving positive early feedback and demand in the marketplace."

LPL's employee channel has proved popular since its 2019 launch, and recently announced its first $1B team. Here's how that move happened and where Linsco goes from here.

The bank team was seeking a place to support its growth in providing boutique 'concierge' services, while maintaining autonomy.