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Articles tagged "LPL"


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Robert Dineen: We thank Larry Roth for his many contributions to our company, and welcome his assistance through the transition.

PE-backed Cetera board member Robert Dineen sees Larry Roth to the door, takes CEO reins

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

September 2, 2016 at 8:08 PM

Cetera has annointed Robert Moore [seen here in a 2014 photo] its post-scandal standard-bearer

Sources: Larry Roth is out at Cetera, supplanted by ex-LPL president, Robert Moore

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

August 26, 2016 at 6:06 PM

Mark Casady continues to pull big levers to cut costs, regain momentum and get the stock price back to where it once was.

What to make of LPL freezing the wages of most staffers -- and some reaction to the company's explanation

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

August 19, 2016 at 3:17 AM

Bill Hamm: We can do it at significantly less cost than what I was paying LPL and they are fine with it.

LPL restores OSJ rights to $35-billion AUA super-rep that just kept growing during its three-year ordeal

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

July 11, 2016 at 6:12 PM

Evan LaHuta: Is it reasonable to offer this type of discount for new clients, but not your long-term valuable existing clients?

Schwab launches biggest RIA-targeted price war in years -- but TD and Pershing say they won't play along

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

July 1, 2016 at 8:25 PM

LPL put four people in a new Washington D.C. office with a criss-crossing legislative agenda in mind.

LPL Financial dumps FSI then goes full swank on lobbying office -- but legislative agendas of FSI and LPL don't reveal any divide

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

June 8, 2016 at 10:19 PM

Ryan Parker: I want to say in the clearest way possible that there's nothing driving me away from LPL

Edelman Financial gets its CEO from LPL but the chief executive's job description isn't exactly what the old one was

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

May 31, 2016 at 8:47 PM

Gary Carrai is the executive who maintains an LPL tie with Fortigent.

LPL invites 180 of its bigger-book reps to Dana Point as part of its latest Fortigent-fortified bid to move upmarket

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

May 5, 2016 at 8:04 PM

Scott Smith: I don't think the goal for them is to fight Wealthfront.

With BlackRock ahead and blue ocean behind, LPL finds its robo comfort zone

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

April 15, 2016 at 7:59 PM

Ryan Parker was brought over to LPL from Russell Investments and now heads its robo efforts.

LPL unveils BlackRock's FutureAdvisor as its robo partner -- albeit with LPL model portfolios

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

April 13, 2016 at 6:15 PM

Robbins Geller Rudman & Dowd attorneys under David Walton come at LPL with intimidating resumes but hard-to-follow logic about why Mark Casady favored one investor over a wolf pack of others

The odd logic 'Enron' lawyers are relying on to sue LPL Financial for securities fraud -- logic that's attracted five potential copycat investigations in 10 days

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.

March 30, 2016 at 6:24 PM

John Hyland: You'll see a complete reversal and the brokerage will shrink and the advisory will increase.

The RIA-ification intrinsic to LPL's preemptive DOL policy changes -- yet how tightly to revenue sharing in IRAs it is hanging

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

March 22, 2016 at 9:30 PM

Bing Waldert: This is almost an existential crisis for variable annuities.

As variable annuities face 'existential crisis,' LPL's Casady is latest to warn of end to commission-sold VAs in retirement plans

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

March 2, 2016 at 7:05 PM

Tracy Calder spent 18 years at UBS before leading efforts at JP Morgan Securities.

LPL keeps on stockpiling tip-top compliance execs, with JP Morgan's ex-CCO the latest

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

January 26, 2016 at 4:11 PM

The 2014 RIA hype frenzy may have peaked when suddenly Tony Robbins was everywhere.

Why the RIA business starts 2016 without its swagger: 2014 and 2015

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

January 11, 2016 at 11:42 PM

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