LPL Financial recently awarded senior management over 35,000 shares of common stock, according to notices filed with the Securities Exchange Commission Tuesday night...

Despite FINRA backing off a bid to become the regulator for registered investment advisors, some still fear the authority's scrutiny if the Securities and Exchange Commission moves forward with third-party examinations...

LPL Financial has added Zions Bancorporation to its Institution Services platform, encompassing 50 advisors focused primarily on serving high-net-worth investors. LPL provides brokerage, wealth management and trust services to more than 740 banks...

LPL Financial experienced another major leadership shakeup Tuesday as Chief Financial Officer Dan Arnold is set to replace outgoing Robert Moore as president...

In a memo to financial advisors, Morgan Stanley said it is restructuring its executive team, following head of strategy and client management Doug Ketterer’s recent departure. Sara Furber, who currently serves as chief operating officer for...

Is your custodian a growing threat?

Fidelity Institutional will combine its custody and clearing units and launch a new technology unit to be lead by Michael Durbin, current president of the firm’s RIA custody business, the firm announced Wednesday...

LPL Financial will relocate its Fortigent operations from Rockville, Md. to the company’s Charlotte, N.C. office to consolidate resources focusing on high-net-worth clients...

The former CEO of Royal Alliance came out of retirement on Friday to launch an independent, New Jersey-based firm that will act as a super-OSJ in partnership with First Allied Securities...

LPL Financial posted net income of $48.5 million, or 49 cents a share, for the fourth quarter, up 9.3 percent from a year ago, despite $4.9 million paid in regulatory charges. Adjusted earnings per share of 66 cents beat analysts&rsquo...