LPL Financial Promotes Compliance Chief to Managing Director
Sharyn Handlesman has been with the indie BD, which had regulatory charges of $36 million last year, since 2010.
LPL Adds 2 Execs to Fortigent in Reshuffle
Tim Knepp and Matthew Peterson come on board to boost the indie broker-dealer’s high-net-worth platform.
Moore to Leave LPL; Arnold Replacing Him as President
Robert Moore is leaving LPL to become CEO of Legal & General Investment Management America, an RIA specializing in fixed income.
Raymond James Adds 6 From LPL; Wells Fargo Grabs 5 From Morgan Stanley
Meanwhile, Merrill Lynch recruits a UBS team as wirehouse retention deals expire.
LPL Defends $9M Fortigent Restructuring
The reorganization, whose cost includes $4.5 million in severance packages, will bring "innovation and efficiency" to LPL's HNW offerings, an executive said.
LPL Beats Q4 Estimates, Tops 14,000 Reps
Earnings improved 9% on strong asset growth and RIA-related results, as well as lower compensation costs.
Raymond James Nabs $2.6M Ex-RBC Team
In addition, a former Merrill Lynch rep affiliates with LPL Financial, and Baird adds an ex-UBS team.
‘RIA-ization’ Transforming Advisor Industry
Advisors have lots to consider when using a corporate RIA or starting their own, says a panel at FSI OneVoice 2015.
Cetera, LPL, Ladenburg Losing Appetite for M&A, Their Execs Say
After long acquisition sprees in recent years, execs from Ladenburg, LPL and Cetera express little interest in more BD deals at FSI OneVoice.
Invest in Others Is Now Taking Advisor Award Nominations
Invest in Others will take names through April 15, and the nonprofit is expanding its work for and with FAs, chairman Bill Dwyer says.