| Similar Articles |
|---|
 |
Wall Street & Technology
July 1, 2008
Penny Crosman |
Fidelity Hires New CIO Fidelity Investments ransacks Morgan Stanley and Merrill Lynch to fill two top IT positions.   |
Investment Advisor
January 2008 |
Changes National Financial Partners named Daniel Young president and COO of NFP Securities, Inc., NFP's broker/dealer... The Securities and Exchange Commission named John Loesch deputy director of the agency's Office of Investor Education and Advocacy... etc. |
Investment Advisor
May 2009 |
Changes People: Derek Bruton named national sales manager for LPL Financial Independent Advisor Services while still retaining his position as CEO for the LPL Financial affiliated broker/dealers... Walter Donovan as CIO and head of Putnam's equity, fixed-income, and global allocation operations... more... |
Investment Advisor
July 2006 |
B/d Briefing: News & Products The Securities and Exchange Commission announced on May 31 the institution of proceedings against 15 broker/dealer firms... In the past year nearly 200 advisors have been added to the H&R Block Financial Advisors team... etc. |
Investment Advisor
July 2007 |
Changes Shawn Dreffein, president of National Planning Corporation has retired... American Century Investments appointed Barry Fink... etc. |
Investment Advisor
April 2007 |
Changes-April 2007 New York Life Insurance Company announced that Christopher Blunt was appointed senior VP and COO... Jonathan Spector, vice dean of The Wharton School at the University of Pennsylvania, was named president and CEO of The Conference Board... etc. |
Registered Rep.
May 9, 2007
Christina Mucciolo |
Morgan Stanley to pay $7.96 Million for Best Execution Fraud The SEC announced that Morgan Stanley will pay penalties to settle the charges against the firm for failing to provide best execution to clients. |
CIO
November 1, 2005
Meridith Levinson |
A New Frontier for CIOs in Corporate Ops Today, the prospects for CIOs who wish to take on broader management duties are looking brighter. |
Financial Planning
September 1, 2008 |
On the Job American College hires Craig W. Lemoine to serve as assistant professor of financial planning... Fidelity Investments names Joseph A. Giordano executive vice president of relationship management... LPL Financial in San Diego has appointed Mark Helliker managing director... etc. |
Investment Advisor
November 2007 |
Changes Securities and Exchange Commissioner Annette Nazareth announces her intention to leave the Commission... Derek Bruton joins LPL Financial Services as CEO... CFP Board appoints Carol Lee Roberts to the position of managing director of Examinations and Education... etc. |
On Wall Street
December 1, 2009
Pat Olsen |
Bill Morrissey Bill Morrissey, of LPL Financial, talks about his 23 years in the securities business. |
Registered Rep.
September 11, 2008
Halah Touryalai |
LPL Fined For Privacy Failures The firm was slapped with a $275,000 penalty issued by the SEC for failing to safeguard its customers' personal information. |
Wall Street & Technology
November 18, 2005
Ivy Schmerken |
Scottrade Upgrades Active Traders to Nasdaq's TotalView Active traders clamoring to see all stock liquidity beyond the best bid and offer could push retail brokerage firms to deliver depth-of-book order feeds on their trading platforms. |
BusinessWeek
July 31, 2006
Lewis Braham |
The Best E-Broker For You The price of a trade is just the start. Here's what you need to know to choose wisely. |
Registered Rep.
March 13, 2012
Diana Britton |
Yield of Dreams: More Proof the Breakaway Trend May Not be Overhyped A $300 million Morgan Stanley Smith Barney team has left the wirehouse for the greener pastures of LPL Financial, their IBD, and Fidelity, their custodian. The move is the latest example of the breakaway broker trend. |
Registered Rep.
May 5, 2008 |
LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs. |
Investment Advisor
December 2009
James J. Green |
Catching Up With...Gary Gallagher A chat with LPL's executive VP strategic programs and support services. |
Registered Rep.
July 14, 2010
Halah Touryalai |
LPL Acquires Retirement Broker/Dealer LPL continues its growth streak with the acquisition of assets from National Retirement Partners, a California based broker/dealer. |
Investment Advisor
June 2008
Kara P. Stapleton |
Power of the Platform LPL will build a custodial offering for its own -- and outside -- RIAs. |
Investment Advisor
August 2008
James J. Green |
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady |
Registered Rep.
June 7, 2010
Halah Touryalai |
LPL To Go Public. At What Valuation? It's the moment LPL Financial (and much of the broker/dealer world) has been anticipating for at least the last five years. The independent channel's largest b/d filed forms S-1 with the SEC on Friday, signifying its intent to float shares to the public. |
Investment Advisor
September 2006 |
LPL Buys UVEST In a move that catapults two strong firms to the forefront of third-party brokerage services to financial institutions, Linsco/Private Ledger Corp. will buy UVEST Financial Services. |
Registered Rep.
July 27, 2010
Halah Touryalai |
Overtime Suits Resurface, This Time for Independent Reps On July 22, Mark Thierman, a labor lawyer in Reno, Nevada, filed a complaint against LPL Financial for violating New York State overtime laws by not paying its reps overtime wages. |
Registered Rep.
February 8, 2011
Jerry Gleeson |
LPL's Casady Sees Better Advisor Growth In `11 Though the firm managed to rack up strong revenue and profit growth last quarter and in fiscal 2010, it did not meet the annual recruiting target of 400 net new advisors that Casady had set. |
Investment Advisor
April 2007
James J. Green |
Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers. |
Registered Rep.
October 23, 2007
David A. Geracioti |
If Allegations Prove True, File This Under: Stupid Broker The SEC has filed a complaint against a former LPL rep and branch manager, who, the SEC says, had been engaging in one of the oldest broker tricks in the book: stealing his clients money. |
CIO
March 1, 2002 |
The 2002 State of the CIO Survey Our survey findings highlight the fact that the CIO's time is spent more on strategy than pure technology... |
Investment Advisor
December 2009 |
Broker/Dealer News New developments at Raymond James, LPL Financial, and Broadridge Financial Solutions. |
Investment Advisor
April 2010
Robert F. Keane |
Catching Up With... A short conversation with Fidelity Client Experience Executive VP Maggie Serravalli. |
Registered Rep.
August 12, 2011
Diana Britton |
$420 Million Team Leaves Securities America for LPL, As Do Others Some advisors have jumped ship from independent broker/dealer Securities America for LPL Financial following news that parent Ameriprise Financial would sell SAI. |
Investment Advisor
March 2010
James J. Green |
RIA Growth at LPL The biggest independent broker/dealer is growing rapidly in another way: as a custodian for advisors that use LPL Financial as the custodian for their RIA activities. |
