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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
May 2006
Kathleen M. McBride |
B/D Briefing: Pick Three In a recent reader survey, when asked where reps would go if they were to consider moving to another B/D, three firms were consistently mentioned: Commonwealth Financial Network, LPL Financial Services and Raymond James Financial Services. Here's why. |
Investment Advisor
July 2010
James J. Green |
LPL Financial's IPO: The Competitive Equation How the broker/dealer universe will change with LPL's plans |
Investment Advisor
October 2008
James J. Green |
Is Consolidation Finally Here? Several recent deals for mid-sized independent broker/dealers raises the question. |
Investment Advisor
September 2009
James J. Green |
How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating. |
Investment Advisor
September 2008
Melanie Waddell |
Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers. |
Investment Advisor
July 2007
Jonathan Henschen |
B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees... |
Investment Advisor
September 2009
James J. Green |
Where Representatives Would Go This year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate. |
Investment Advisor
June 2006
Kathleen M. McBride |
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. |
Investment Advisor
October 2008 |
News & Products, October 2008 The SEC announces an enforcement action against LPL Financial Corp... ING Advisors Network announced a reorganization... Ameriprise Financial has signed an agreement to acquire H&R Block Financial Advisors... etc. |
Investment Advisor
October 2006
Kathleen M. McBride |
What Matters Most Results from a Broker/Dealer of the Year poll offer valuable tools for b/ds to see how they are doing, on average, among reps, and where there's room for improvement. |
Registered Rep.
July 27, 2010
Halah Touryalai |
Overtime Suits Resurface, This Time for Independent Reps On July 22, Mark Thierman, a labor lawyer in Reno, Nevada, filed a complaint against LPL Financial for violating New York State overtime laws by not paying its reps overtime wages. |
Investment Advisor
January 2006
Kathleen M. McBride |
Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients. |
Investment Advisor
June 2008
Philip Palaveev |
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. |
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.
June 7, 2011
Diana Britton |
Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing. |
Investment Advisor
March 2010
James J. Green |
RIA Growth at LPL The biggest independent broker/dealer is growing rapidly in another way: as a custodian for advisors that use LPL Financial as the custodian for their RIA activities. |
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. |
Investment Advisor
September 2007
James J. Green |
Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment |
Investment Advisor
March 2009
James J. Green |
Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness. |
Investment Advisor
April 2009
James J. Green |
B/D Briefing: It's Time for More Clients LPL Financial Services launched on January 30 a client referral program that the broker/dealer calls ClientsFirst. |
Registered Rep.
August 10, 2011
Diana Britton |
LPL Conference Opens with New Initiatives, Support for Advisors LPL Financial kicked off its annual conference in Chicago on Monday by ringing the opening bell of the NASDAQ stock exchange and announcing some new initiatives aimed at supporting advisors. |
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. |
Investment Advisor
June 2009
James J. Green |
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive |
Investment Advisor
September 2006 |
LPL Buys UVEST In a move that catapults two strong firms to the forefront of third-party brokerage services to financial institutions, Linsco/Private Ledger Corp. will buy UVEST Financial Services. |
Investment Advisor
June 2008
Kara P. Stapleton |
Power of the Platform LPL will build a custodial offering for its own -- and outside -- RIAs. |
Registered Rep.
May 2, 2011
Diana Britton |
Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial |
Registered Rep.
January 1, 2008 |
Independent Advisor Services, LPL Bill Dwyer President A conversation with Bill Dwyer, President of LPL Financial Services in San Diego, California, a financial services firm with $231.8 billion in client assets under management. |
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. |
Registered Rep.
January 1, 2008 |
Mutual Service Corporation J. Andrew Kalbaugh CEO A conversation with J. Andrew Kalbaugh, CEO of Mutual Service Corporation, a financial services firm in West Palm Beach, Florida, with $6.3 billion in clients assets under management. |
Investment Advisor
January 2008
Kathleen M. McBride |
Clearly Profitable It's an evolution revolution at the big clearing firms. |
Registered Rep.
January 25, 2010
Halah Touryalai |
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets. |
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... |
Investment Advisor
May 2008
Melanie Waddell |
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. |
Investment Advisor
June 2008
Jonathan Henschen |
Transfer Time For advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it's time for a reality check. |
Registered Rep.
June 1, 2012
Diana Britton |
Breaking Out: A New Era in Insurance Insurance firms constantly go through cycles of acquisition and sale when it comes to their broker/dealer subsidiaries. But the current sell cycle is different, and it may shake up how the business works. |
Investment Advisor
December 2009
James J. Green |
ING Sells Three B/Ds ING agreed to sell three of its U.S. broker/dealers that comprise the ING Advisors Network to Lightyear Capital LLC. |
Registered Rep.
January 1, 2005 |
I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors. |
Investment Advisor
June 2007
Lauren Barack |
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms. |
Investment Advisor
September 2006
Lauren Barack |
Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility. |
Investment Advisor
May 2009
James J. Green |
Pershing Service for RIAs at B/Ds Pershing LLC introduces a new service for its affiliated broker/dealer firms called RIA Complete. |
Investment Advisor
March 2008
James J. Green |
Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever. |
Investment Advisor
December 2007
James J. Green |
Catching up with... Adrian Nazari LPL acquired Adrian Nazari's firm, FinancialCircuit, allowing him to further explore ways of helping advisors manage their clients' liabilities. Here's an interview with Nazari. |
Investment Advisor
July 2009
Jonathan Henschen |
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. |
Registered Rep.
August 12, 2011
Diana Britton |
$420 Million Team Leaves Securities America for LPL, As Do Others Some advisors have jumped ship from independent broker/dealer Securities America for LPL Financial following news that parent Ameriprise Financial would sell SAI. |
Registered Rep.
November 18, 2010
Jerry Gleeson |
LPL IPO Clicks with Investors CNBC star Jim Cramer may not have liked the valuation of the LPL Investment Holdings IPO, but investors sure did. |
Investment Advisor
June 2009
Elizabeth D. Festa |
B/D Briefing: Keys to B/D Success A new study reveals that a broker/dealer's growth can be stunted, the investor experience harmed, and the firm's brand jeopardized by the lack of an efficient operational platform. |
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. |
