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An LPL super-client hits 'pause' on recruiting after an SEC inquiry and LPL is playing a parental role

Despite the scare, LPL stands by this OSJ and wants to support these explosive growers

Author Lisa Shidler March 15, 2013 at 5:47 PM
2 Comments
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William Hamm Jr. may shift his firm's value proposition.

RIA Compliance


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Related Moves

August 19, 2020 at 2:18 AM

His days of playing defense done, Jeff Concepcion pinches pennies then poaches a Fidelity and Schwab veteran to execute grab for next $6 billion of AUA at Stratos

Lou Camacho will pursue goal of $600 million a quarter in new assets on behalf of OSJ that wants much more inorganic growth

October 5, 2018 at 7:40 PM


Mentioned in this article:

LPL Financial
RIA-Friendly Broker-Dealer, RIA Welcoming Breakaways, Advisory Firm
Top Executive: Dan Arnold

Sheridan Road Financial
Consulting Firm
Top Executive: Jim O'Shaughnessy

Independent Financial Partners
RIA Serving Other RIAs
Top Executive: William Hamm



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