13 Best & Worst Broker-Dealers: Q3 Earnings, 2017
Most, but not all, large financial firms with broker-dealer operations reported positive results for the quarter.
LPL Says Retention of NPH Reps at 70%
If it hits 72% of fees and commissions, the IBD will need to pay up to $123 million more for its acquisition.
LPL Makes Retirement Plan Push With FAs
Retirement Partners head Bill Beardsley and national sales chief Andy Kalbaugh are hoping to bring more LPL reps and ex-NPH advisors into the fold.
Regulators Charge SII With ‘Unethical’ Conduct Tied to REIT Sales
Advisors' commissions on the sales topped $278,000, according to Massachusetts securities regulator William Galvin.
LPL, Stratos Wealth Partners Welcome $311M Team
Barton Spector Wealth Strategies focuses on retirement income planning and cites the DOL rule for the move.
Is LPL’s Purchase of NPH Savvy or Reckless?
Analysts and executives discuss the pros and cons of the IBD's $325 million purchase.
A Look Inside LPL’s DOL Fiduciary Strategy
Whether the rule is enforced Jan. 1 or not, the IBD will go forward with its new compliance tools, LPL's Bill Morrissey told ThinkAdvisor.
LPL Shares Q2 Recruiting Update, Sees Less DOL-Related Uncertainty
CEO Dan Arnold discusses why the independent broker-dealer is upbeat on its recruiting pipeline for the rest of the year.
Pros & Cons of LPL’s Move to Add Virtual Assistants: FPPad’s Winterberg
Is the IBD helping its affiliated advisors or taking technology too far with its latest fintech move? Bill Winterberg discussed with ThinkAdvisor.
LPL Launching Robo-Advisor This Month
The digital platform, Guided Wealth Portfolios, already has $14 million in assets and more than 700 clients.