LPL Financial

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  1. Articles

    LPL's Casady could be on the hot seat

    Activist investor Marcato could demand more of a say in how the company is run in effort to boost its stock price.

  2. Articles

    From the C Suite with LPL's Mark Casady: Stay calm and cheer on

    Mark Casady still remembers the pit he felt in his stomach 14 years ago when his then-employer landed on the cover of Barron's in a less than flattering story headlined “Foundering.”The story questioned strategic decisions Mr. Casady had helped craft, and it hurt to read it. But even back then Mr.

  1. Articles

    LPL and Wells Fargo's bold calls predict as much as 9% return on stocks this year

    In the face of a spike in market volatility, the two firms are doubling down on surprisingly bullish predictions that the S&P 500 will close out the year notably higher than where it started.

  2. Articles

    LPL Financial plans to launch robo-adviser in next two months

    Dan Arnold, LPL's president, says the firm plans to launch a robo that won't replace its financial advisers but will "gain a certain amount of the market."

  3. Articles

    Massachusetts' Galvin to investigate alternative fund sales by advisers

    Sales of 25 top 'liquid alts' mutual funds will come under greater scrutiny from the state regulator.

  4. Articles

    Massachusetts' Galvin fines LPL $250,000 over senior certifications

    Firm agrees to pay up to settle charges that some of its brokers were using titles that did not comply with Massachusetts' senior designation regulations.

  5. Articles

    LPL hires E*TRADE CFO Audette to replace Dan H. Arnold

    Manager known as a 'turnaround artist' to take financial helm after Arnold bumped to president to replace Moore.

  6. Articles

    Stifel deal for Barclays unit would amp up ambitions to attract elite advisers

    An acquisition of Barclays' U.S. wealth unit would add $47 billion in assets and 249 advisers who focus on ultrahigh-net-worth clients, filling a gap in Stifel Financial CEO Ron Kruszewski's advisory business.

  7. Articles

    Creating new position, LPL hires a chief technology officer

    LPL Financial on Monday announced it had hired a chief technology officer, filling a newly created role at the nation's biggest independent broker-dealer. In his new role, David Wright will be responsible for technology security, overseeing infrastructure operations and developing technology

  8. Articles

    Recent fine may hasten LPL Financial's shift to fee compensation

    The broker-dealer acknowledges the growing importance of its fee and advisory businesses

  9. Articles

    LPL Financial fined $11.7 million for 'widespread supervisory failures'

    Citing 'widespread supervisory failures,' Finra says the firm failed to properly supervise sales of complex products, including certain ETFs, variable annuities and non-traded REITs.

  10. Articles

    The independent broker-dealers with the biggest revenue and asset gains in 2014

    Revenues at the largest independent broker-dealers grew 10.3% year-over-year in 2014, a figure in line with the broad market but below the 13.2% year-over-year revenue increase in 2013.While LPL Financial and Ameriprise dominate the independent broker-dealer industry based on total revenue, a group

  11. Articles

    The latest ranking of independent broker-dealers by rep head count

    Even if recruiting at independent broker-dealers has hit a wall, the industry still features a number of firms with expanding numbers of registered reps.

  12. Articles

    The independent broker-dealers that offer the highest average payouts

    In 2014, independent broker-dealers enjoyed double-digit revenue increases, but adviser recruiting slowed considerably.While adviser movement may have decreased in 2014, average payouts remained robust at the industry's best-paying firms. We've ranked the top-paying independent broker-dealers based

  13. Articles

    LPL Financial's Dan Arnold is managing amid complexity

    Robert Moore's successor as LPL president talks about his earlier career and the challenges facing the independent broker-dealer industry