Articles tagged "LPL Financial"
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Seeking loan of $2 million, PCR discloses $12-million payment due in 2020 -- putting 'sale' on the table, offering memorandum shows
Private Client Resources, founded in 2000 projects it will break even next year but declines to say how it'll pay back mounting pile of loans
March 19, 2018 at 7:03 PM
LPL Financial pushes toward full-service-on-tap model with its 'virtual' play -- running some real risks in the process
With virtual, digital and OSJ firms making headway, CEO Dan Arnold's move may amend LPL business model or, one recruiter says, be a sop to Wall Street analysts hungering for a new angle
February 20, 2018 at 8:58 PM
Publicly traded 'RIA' stocks are having a banner 2017
Wall Street is loving shares of Schwab, Envestnet, Morningstar and LPL
December 8, 2017 at 12:28 AM
All-LPL M&A deal yields one $875-million firm in which Black Diamond, Schwab and Vanguard are named factors
The 51-year-old founder of CalBay Investments Inc. and the Hillis Financial Services founder, 73, do a succession-minded combination that keeps assets all in the LPL family
November 29, 2017 at 11:49 PM
The 2017 FPA conference leans heavily on a Michael Kitces unimpressed with the group's 'silence' on the CFP Board
Although its theme was elusive, the Denver-based advocacy group and standard-setter drew 1,800 advisors to the Country-Western capital
October 9, 2017 at 7:57 PM
Tensions build with OSJs after LPL Financial's 'about face' on held-away RIA assets and forced use of its corporate RIA
Can the Fort Mill, S.C. broker-dealer add 3,200 NPH advisors, make RIAs bend to its will and not break bad with giant partners?
September 6, 2017 at 12:09 AM
Never mind seared corneas. Will the first total American Eclipse since 1991 trigger a major equities market correction?
LPL stat-gazer says signs point to 'no' -- since the turn of the last century total solar eclipses as viewed from the US have presaged double-digit equity gains
August 22, 2017 at 5:59 PM
LPL Financial's tack to roll-up mode -- complete with trash-talking its sweet terms -- may send its rep count sailing past Morgan and Merrill
CEO Dan Arnold's pivot away from seller's market in reps to buyer's market in scooping up rivals on the cheap is an experiment that could work
August 18, 2017 at 6:41 PM
Chip Roame crosses Bay to proclaim bright future for classic RIAs -- and says a certain wirehouse will go fee-only to become the largest RIA -- at Laser App event
CEO Dan Arnold's pivot away from seller's market in reps to buyer's market in scooping up rivals on the cheap is an experiment that could work
August 17, 2017 at 6:36 PM
LPL investment chief to advisors: Buy the dip! What'll it look like? Good question.
Keep an eye out for a pullback triggered by a central bank goof-up, a Trump super-SNAFU or a geopolitical kaboom
August 8, 2017 at 9:56 PM
LPL Financial clips wings of 20 top fund companies by asserting itself as 'gatekeeper' on newly launched DOL-proof 3.5% flat-commission mutual fund superstore
Using Labor Department as leverage, LPL cuts itself in as middleman between branded fund giants -- including Fidelity, Legg Mason and Putnam -- and its advisors' clients -- in exchange for semi-exclusive shelf space positioning
August 4, 2017 at 10:04 PM
LPL Financial's DOL-rule memo to reps implies deeper message: Become an RIA or stand down on giving rollover advice
The 'deep-pocketed' broker-dealer puts its Series-7 brokers on notice to forget about suggesting a rollover even as it gives its hybrid RIAs a strict protocol to stay out of trouble
July 5, 2017 at 8:02 PM
Incredulity hovers over LPL's retro -- or is it inspired? -- choice of original 1983 employee Jim Putnam as chairman
As the 14,000-rep broker-dealer gropes for a post-DOL, post-digital future, it'll rely on the old-school standard bearer to shepherd new CEO Dan Arnold
March 10, 2017 at 8:05 PM
One effect of Ron Carson's exit from LPL after 27 years: His firm disclosed the use of forgivable loans to the SEC
Carson Wealth Management is both an advisor and an advisor platform and Carson says neither he nor his firm 'took a check' in any form
March 3, 2017 at 10:46 PM
New LPL CEO Dan Arnold thrills Wall Street in debut by laying out vanilla vision
Deflecting talk of RIA strategies and alliances with giants aside, Mark Casady's successor says LPL Financial's recruiting machine is poised to crank in DOL turmoil cast-offs
