LPL Financial

May 23, 2013

Article

Reuters

U.S. SEC Charges Former LPL Adviser with $2 MLN Civil Fraud

The top U.S. securities regulator on Thursday filed civil fraud charges against a former LPL Financial LLC adviser, charging he diverted some $2 million of client funds to use for personal expenses....More
Apr. 25, 2013

blog

LPL, Raymond James Report Lackluster Recruiting Quarter

Independent broker/dealer LPL Financial and Raymond James had a lackluster first quarter for recruiting advisors....More
Feb. 6, 2013

Article

LPL’s Earnings Down, But Above Estimates; Firm To Pay $2 Million Restitution Over Non-Traded REITs

LPL Financial’s fourth quarter earnings were down slightly, but the news was overshadowed by an order to pay $2 million in restitution for improper sales of non-traded REITs....More
Dec. 14, 2012

blog

Could Mobile Be in LPL’s Future?

LPL Financial has hired a new chief information officer from Dell, with the hopes of expanding its technology onto mobile platforms....More
Oct. 31, 2012

Article

REP.

LPL Reports Lower Profits, Productivity as Markets Reopen

As markets reopened Wednesday following Hurricane Sandy, LPL Financial reported lower profits for the third quarter on lower advisor productivity, but higher assets....More
Oct. 4, 2012

Article

REP.

Are Independents Here to Stay?

The pace of recruiting into the independent broker/dealer channel has slowed this year, defying expectations. New research from Cogent says that may soon change....More
Aug. 16, 2012

blog

LPL Financial Near-Term Outlook Dim but Long-Term Outlook Good

LPL reported lousy quarterly earnings recently. But its long-term growth looks good....More
Jul. 31, 2012

Article

REP.

Investments Put a Drag on LPL’s Second Quarter Growth

LPL Financial added advisors and assets during the second quarter, but investments in new initiatives and acquisitions dragged down earnings....More
Jun. 1, 2012

Article

REP.

Comings & Goings: June 2012

Star advisor Erin Botsford, who leads a Frisco, Texas-based team with $560 million in assets, has jumped ship from Dewaay Financial Network to LPL Financial...More
Apr. 30, 2012

Article

REP.

LPL Posts Lower Earnings on Record Net Revenue, Assets

LPL Financial (NASDAQ: LPLA) said its first quarter earnings and net new advisory assets were down from a year ago, but the firm also reported record net revenue and advisory and brokerage assets for the quarter. Despite the lower earnings, advisor productivity rebounded from the fourth quarter, and the broker/dealer’s advisor count is also up from the previous quarter....More

U.S. SEC Charges Former LPL Adviser with $2 MLN Civil Fraud

LPL, Raymond James Report Lackluster Recruiting Quarter

LPL’s Earnings Down, But Above Estimates; Firm To Pay $2 Million Restitution Over Non-Traded REITs

Could Mobile Be in LPL’s Future?

LPL Reports Lower Profits, Productivity as Markets Reopen

Are Independents Here to Stay?

LPL Financial Near-Term Outlook Dim but Long-Term Outlook Good

Investments Put a Drag on LPL’s Second Quarter Growth

Comings & Goings: June 2012

LPL Posts Lower Earnings on Record Net Revenue, Assets

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