LPL Financial agreed to a $6.5 million fine for failing to properly retain records, conduct mandatory fingerprinting and for the lax supervision of consolidated reports, according to a FINRA letter of ...
SAN DIEGO, Feb. 23, 2018 (GLOBE NEWSWIRE) -- LPL Financial Holdings Inc. (NASDAQ:LPLA) (“Company”), parent company of leading retail investment advisory firm and independent broker/dealer LPL ...
SAN DIEGO, Oct. 01, 2018 (GLOBE NEWSWIRE) -- Leading retail investment advisory firm and independent broker/dealer LPL Financial LLC, a wholly owned subsidiary of LPL Financial Holdings Inc. (NASDAQ: ...
LPL Financial announced that its earnings exceeded analysts’ expectations during the fourth quarter of last year, culminating in a huge 2018 for the firm in both advisor recruiting and organic growth.
Even a cash bonus of quadruple his salary didn't bring LPL Financial CEO Dan Arnold's compensation close to that of the CEOs of the firm's closest rivals. Processing Content Arnold, 54, earned total ...
LPL Financial last month reported a record amount of assets recruited to its platform last year. In a recent filing with the Securities and Exchange Commission, the firm revealed that those assets ...
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