Articles tagged "LPL"

A former secret service agent and Merrill Lynch exec, Robert Dineen is known for leading by example and delivering results

A column co-written by Roth and Moore earlier this month hinted to some that Cetera's newly rechristened parent firm is still actively engaged in refurbishing its image

Cost savings may be less the issue than the desire to turn a page, change a culture and even headhunt Google- and Goldman Sachs-like visionary execs

By taking compliance back in-house, IFP slashes its $1 million compliance budget in half and gains a lost flexibility, according to founder Bill Hamm

In what may be a prelude to commission-free RIA custody era, Schwab eliminates equity and ETF commissions for all new clients for a year; Fidelity says it is still cheaper

The big broker-dealer stopped paying dues to the Financial Service Institute but it'll pay up for hot offices near the White House

The $16-billion-AUM RIA's poach of Ryan Parker gives Ric Edelman the bandwidth to exert more of his people power

Attendees said fast-talking presenters belied LPL's aspirations but perhaps bolstered its claim that the hoi polloi won't be forgotten

With the 150 basis-point-plus price of Guided Wealth Portfolios, LPL's robo plan doesn't look so robo, except for the onboarding

After Nestwise dropped off the twig, then crickets, then a secret pilot launch, LPL announces that robo FutureAdvisor gets the nod

Does it make sense that Mark Casady would want to puff up his company's shares prior to buying back $275 million worth of shares? A lawsuit wants to know.

LPL's super-clients like Private Advisor Group see a clear 'advisory' future but LPL is walking a more shrub-choked hybrid path

DOL's imminent final rule is prompting LPL and Commonwealth to consider nixing traditional VAs in qualified retirement plans

Tracy Calder joins a lengthening line of hires that follow a deluge of SEC fines

What's hot right now? Almost nothing and nobody. But it might be a 'healthy correction' of equilibrium