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Registered Rep. March 1, 2006 Christopher O'Leary	It's Not Just About the Trade Because of a massive consolidation wave and a hyper-regulatory environment, financial advisors are interacting with their clearing firms in ways they never did before.
Registered Rep. March 1, 2008 Christina Mucciolo	What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm.
Financial Advisor July 2005 Raymond Fazzi	Clearing The Field While the clearing firm market has become treacherous terrain for smaller players, who are vulnerable to being either swallowed up or pushed out by larger firms, some smaller firms have managed to implement successful growth strategies.
Registered Rep. March 1, 2007	The Upstarts There are some upstart custody/clearing firms who are winning business from the behemoths.
Registered Rep. March 5, 2012 Diana Britton	Your Broker/Dealer May Be Headed for Divorce As independent broker/dealers continue to consolidate and the search for profitability accelerates, some firms may be considering going self-clearing, analysts and industry executives say.
Financial Advisor July 2004 Tracey Longo	Clearing Firms Come Courting With clearing industry players so clearly targeting advisors, competition for advisor business is likely to get even more interesting very soon.
Financial Planning November 1, 2005 Robert Hertzberg	The Case for Self-Clearing Linsco/Private Ledger, the biggest independent broker-dealer, says it now offers better service to advisers and has an easier time rolling out new products.
Registered Rep. March 1, 2008	A Matter Of Trust What are the biggest hurdles that clearing and custody firms will face in the coming year?... Why did LPL go self-clearing, and will other b/ds follow?...
Financial Advisor July 2007 Tracey Longo	The Big Picture Clearing firms stake their future on helping financial advisors' businesses grow.
Financial Advisor July 2006 Raymond Fazzi	They've Got Your Back To win financial advisors' business, custodians are offering to take over the back-office grunt work.
Financial Planning January 1, 2006 Robert Hertzberg	Pershing's Moment of Truth As fees shrink and clients consolidate, the nation's No. 1 clearing firm has to sell new services to maintain its margins.
Investment Advisor January 2007 Kathleen M. McBride	Symbiotic Relationships When broker/dealers select a clearing firm to partner with, it pays to be choosy. Clearing firms innovate to help correspondents thrive.
Financial Planning March 1, 2007 Elizabeth O'Brien	Clearly, Competition LPL's clearing deal with AXA Advisors prompts questions about recruitment among independent broker-dealers.
Investment Advisor January 2006 Melanie Waddell	A Notch Higher Broker/dealers expect their clearing firms to act like true strategic partners.
Investment Advisor May 2008 Kathleen M. McBride	What Lurks Beneath There are many registered independent advisors and broker/dealers for whom the Bear Stearns debacle is much more than an academic exercise.
Registered Rep. March 8, 2007 Halah Touryalai	LPL's Got `Bank.' What's Next? An IPO? LPL's acquisition last week of three Pacific Life Insurance Company b/ds was just one more step in its quest for a successful sale of the company -- or an initial public offering.
Registered Rep. July 14, 2010 Halah Touryalai	LPL Acquires Retirement Broker/Dealer LPL continues its growth streak with the acquisition of assets from National Retirement Partners, a California based broker/dealer.
Investment Advisor August 2008 James J. Green	Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady
Investment Advisor January 2008 Kathleen M. McBride	Clearly Profitable It's an evolution revolution at the big clearing firms.
Financial Planning November 1, 2009 Paul Menchaca	LPL: "We've Arrived" Twenty years after the San Diego-based company was formed through the merger of Linsco and Private Ledger, LPL appears to have lapped its rivals, leaving nothing in its rearview mirror.
Financial Planning June 1, 2011 Donald Jay Korn	FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases.
CIO April 1, 2001 Lee Pender	Trading Up After 75 years, a fixture of Chicago's markets wants to do more than settle corn bushels futures. Its leaders want to be the premier B2B marketplace backbone...
Registered Rep. January 29, 2010 Jerry Gleeson	PNC May Shed Custody Unit Eager to raise cash and get out from under taxpayer loans, PNC Financial Services Group is looking to sell its custody and clearing division.
Investment Advisor December 2009	Broker/Dealer News New developments at Raymond James, LPL Financial, and Broadridge Financial Solutions.
Wall Street & Technology November 29, 2004 Ivy Schmerken	Eurex and CCorp Forge Link Derivatives exchange and Clearing Corp. tout transatlantic clearing link as they await regulatory approval of phase two of the project.
Registered Rep. May 5, 2008	LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs.
Wall Street & Technology February 4, 2005 Maria Santos	Bringing in Business Attracting hedge funds as customers is a priority this year for the majority of sell-side firms. As hedge funds approach $1 trillion in assets, these non-traditional investment vehicles have become the latest buy-side heavyweight.
Investment Advisor May 2008 Savita Iyer-Ahrestani	DIY Clearing, Made Easy Fidelity's National Financial promises to do what any other outsourcing vendor does: Save time and money for self-clearing broker/dealers so that they can focus on developing their core competencies.
Financial Planning June 1, 2008 Elizabeth O'Brien	Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA.
Investment Advisor April 2009 James J. Green	Editor's Note: A New Focus Now that the shock is over, it's time to get new clients.
Investment Advisor April 2007 James J. Green	Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers.
Financial Planning August 1, 2010 Elizabeth Wine	Why Now? The worst-kept secret in the independent broker-dealer world, an LPL Financial initial public offering, is now official. The company filed an S-1 with the SEC in June. But after months of speculation, observers are wondering: why now?
Wall Street & Technology August 22, 2006 Larry Tabb	Switching a Back-Office Relationship Is Very Hard For financial firms, while the front office is eminently more glamorous and lucrative, switching front-office providers is easy. Switching a clearing, custody or depository relationship, however, is very hard.
Wall Street & Technology September 11, 2007 Larry Tabb	The Boston Equity Exchange (BEX) Calls It Quits It was the first of the regional exchanges (dealer-capitalized or not) to throw in the towel. But what does this mean? Is the Boston Stock Exchange dead? Is it valueless?
Financial Advisor March 2008 Joel Bruckenstein	Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers.
Registered Rep. October 26, 2010 Jerry Gleeson	Net Assets Rise at LPL, TD Ameritrade Trading revenue (excluding asset-based fees and advisory assets), however, was less impressive, with LPL posting modest gains and TDA seeing big declines. (Not surprising, given the overall market conditions.)
The Motley Fool December 15, 2005 Stephen D. Simpson	Still Bullish on This Bear Although fixed income could be a tougher market next year, Bear Stearns has other ways to grow. Investors, take note.
Wall Street & Technology November 17, 2003 Ivy Schmerken	Cleared for Takeoff Clearing firms are rolling out execution services with order-routing and direct-access partners.
Wall Street & Technology March 19, 2007 Anthony Guerra	WestLB Securities Inc. Looks to Outsource Back-Office Functions Without Giving Up Self-Clearing Status ADP will assume responsibility for WestLB Securities' back-office functions, such as clearing and custody, while allowing the firm to maintain self-clearing capability.
Wall Street & Technology November 29, 2004 Maria Santos	People & Careers Witney to Head IT at Barclays Capital... SunGard Names Cinquina SVP... Morris Joins Penson From Pershing... etc.
Wall Street & Technology May 21, 2009 Greg MacSweeney	Exclusive: Lightspeed Financial Integrates Trading Platform With Wedbush's Clearing Capabilities Lightspeed Financial has fully integrated its trading technology and risk management solutions with Wedbush Morgan Securities, a financial services firm and leader in high-frequency clearing services.
Financial Advisor November 2006 LeBlanc & Brounes	Embracing The Future Financial advisory affiliates Pershing and Lockwood get the thumbs-up for their vision, a smooth transition and high client satisfaction.
Registered Rep. March 1, 2008	Partners In Dime As competition for clients and talent in the financial advisory business intensifies, custody and clearing firms are doing everything they can to help b/ds and RIAs stay on top of their game and navigate the path to growth.
Registered Rep. June 7, 2010 Halah Touryalai	LPL To Go Public. At What Valuation? It's the moment LPL Financial (and much of the broker/dealer world) has been anticipating for at least the last five years. The independent channel's largest b/d filed forms S-1 with the SEC on Friday, signifying its intent to float shares to the public.
Registered Rep. February 7, 2011 Jerry Gleeson	LPL Financial Posts Growth in Assets, Advisors LPL Investment Holdings reported higher revenue and adjusted profit numbers for the fourth quarter, as the acquisition of an advisor network in 2010 boosted assets and advisors at the firm.
Wall Street & Technology August 27, 2004 Larry Tabb	Independent Aggregation: An Oxymoron Aggregation's time has come, but independent providers have gone. It is technology that the industry needs and brokers can't live without, but does the act of acquiring a platform devalue it?
Registered Rep. July 5, 2012 Diana Britton	Comings & Goings: July 2012 LPL Financial has named Dan Arnold as its new chief financial officer... The Investment Company Institute has tapped George Shevlin as its new political affairs officer... Chip Roame has been appointed a trustee of the SA Funds...
Wall Street & Technology June 4, 2004 Ivy Schmerken	A Q&A With CCorp's Top Execs On Feb. 8, The Clearing Corporation (CCorp) began processing trades for Eurex U.S., the all-new electronic futures exchange based in Chicago that was launched by Eurex, the world's largest derivatives exchange.
Investment Advisor September 2006 Lauren Barack	Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility.
Registered Rep. February 8, 2011 Jerry Gleeson	LPL's Casady Sees Better Advisor Growth In `11 Though the firm managed to rack up strong revenue and profit growth last quarter and in fiscal 2010, it did not meet the annual recruiting target of 400 net new advisors that Casady had set.