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.
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.
Best Finance Tweets of the Year: 2014
Bill Gross pledges to live to 110 and other highlights from the year of Thomas Piketty and "Flash Boys."
BDs, Trade Groups Team Up to Clarify Murky BD Fees
FINRA, SIFMA and other groups, with LPL and other BDs, have joined forces to develop rules that ensure BDs’ fees are easily understood by investors.
The 2014 Broker-Dealer Reference Guide
Some observers of the independent broker-dealer universe might be tempted to explain its current state by counting the acquisitions that Nicholas Schorsch's Realty Capital has made over the past year.
LPL Taps Bill Morrissey to Lead Advisor Services
Bill Morrissey, head of business development, replaces Derek Bruton, who retired recently after the IBD raised concerns over his "interactions with other employees."
12 Best & Worst Broker-Dealers: Q4 Earnings, 2013
Some of Wall Street's major players haven't been able to turn their results around, but others are putting their troubles behind them.
Why Won’t Advisors Sell?
Securities America’s Roger Verboon relates what he sees on the front lines of advisor M&A: emotional hurdles for sellers, financial for buyers.