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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. |
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. |
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
December 2005
Kathleen M. McBride |
Ownership Shift at LPL Broker/dealer Linsco/Private Ledger (LPL Financial Services) sells a 60% stake to two private equity groups. |
Financial Planning
December 1, 2005
Bob Hirschfeld |
Behind LPL's Big Deal Does the largest broker-dealer's sale to investors mean that acquisitions or an IPO are in the offing? |
Registered Rep.
October 26, 2011
Diana Britton |
LPL Posts Strong 3Q Earnings; Adjacent Acquisition Could Be in Pipeline The real buzz during LPL Financial's earnings conference call was around the firm's acquisition pipeline, which chairman and CEO Mark Casady said was strong. |
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? |
Registered Rep.
April 25, 2011
Kristen French |
LPL Reports First Quarter Income Up 92 Percent LPL Financial reported net income of $49 million, or 43 cents a share for the first quarter of 2011, a 92 percent jump from the first quarter of 2010. |
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. |
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.
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. |
Registered Rep.
December 31, 2010
Diana Britton |
LPL to Capitalize on Growth in Independence; Long-term Challenges Remain LPL's growth will also hinge on overall market sentiment and retail investors' appetite for equities, according to Brad Hintz, senior analyst at BernsteinResearch. |
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.) |
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.
February 7, 2012
Diana Britton |
LPL Posts Record Revenue For Year, Despite Volatility While other firms suffered in the fourth quarter on slow client activity, LPL Financial announced earnings today of $39.4 million for the quarter, up $156 million from a net loss of $116.6 million in the fourth quarter 2010. |
Investment Advisor
April 2007
James J. Green |
Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers. |
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. |
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. |
Registered Rep.
July 27, 2011
Diana Britton |
LPL Posts Record Revenues, Asset Levels; Adds 100 Reps LPL Financial reported record revenues in the second quarter of $894 million, a 13.1 percent gain. |
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
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. |
Registered Rep.
May 14, 2015
Megan Leonhardt |
LPL Incentivizes Hybrid RIAs to Bring Assets Over LPL Financial is offering its hybrid advisors up to $100,000 to shift their assets held elsewhere to LPL's advisory platforms, according to an internal communication sent to advisors Wednesday. |
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.
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. |
Financial Advisor
June 2007
Sherri Scordo |
Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc. |
Registered Rep.
August 1, 2006
Halah Touryalai |
Blotter Wachovia Self-Dealing Suit... Merrill Fined for Firing Rep... LPL: On the Prowl?... |
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. |
Financial Advisor
June 2010
Simonoff & Rasmussen |
Tall Task Building an in-house business consulting group, Derek Bruton is trying to help advisors at LPL adapt to the Darwinian business climate. |
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.
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.
May 2, 2007
Kevin Burke |
It's Not About the Money The firms that have the highest number of satisfied financial advisors aren't necessarily the ones with the highest-paid financial advisors. Industry experts say that what really drives advisors to jump is friction with a supervisor. |
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
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. |
Investment Advisor
December 2009
James J. Green |
Catching Up With...Gary Gallagher A chat with LPL's executive VP strategic programs and support services. |
BusinessWeek
November 24, 2010
Kelly & Tsang |
Private Equity Peddles a Little More After the financial crisis, private equity firms virtually stopped selling shares in their companies to the public. Now they're able to do at least some IPO business. |
On Wall Street
December 1, 2009
Pat Olsen |
Bill Morrissey Bill Morrissey, of LPL Financial, talks about his 23 years in the securities business. |
Registered Rep.
February 3, 2011
Jerry Gleeson |
RIAs on the Recruiting Warpath: LPL's Morristown Financial Recruits 70 in 2010 Investors will refer their family and friends to their advisor if they're satisfied with the service. For financial practices that seek to recruit advisors, the game plays by much the same rules. |
Financial Advisor
March 2008
Joel Bruckenstein |
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers. |
Registered Rep.
February 18, 2009
Halah Touryalai |
LPL's New RIA Offering Lookin' Healthy; But Still A Pipsqueak Compared To Rivals There are some folks in the industry actually doing relatively well these days. Seriously. LPL Financial said today its new-ish RIA platform now has over $1 billion in new assets. |
Registered Rep.
November 29, 2010
Charles Paikert |
First Republic Set To Go Public Five months after Bank of America sold it off to private equity firms, First Republic Bank announced today that it plans to go public. |
Financial Planning
June 1, 2013
Ann Marsh |
FP50: Big IBDs Hit a Speed Bump Is the boom over? After years of double-digit growth, independent broker-dealers hit a rough patch in 2012. We report from the front lines of the FP50. |
Financial Planning
March 1, 2012
Donna Mitchell |
LPL Aims High In its earning call last month, LPL Investment Holdings shared strong performance numbers for fourth-quarter and full-year 2011. |
Registered Rep.
July 12, 2010
Christina Mucciolo |
The Rise of the Super OSJ It's a great time to be a Super OSJ -- the extra large offices of supervisory jurisdiction, or independent b/d branches that both supervise and provide consulting and business services to other independent advisors for a fee. |
Financial Advisor
January 2006
Tracey Longo |
Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee. |
Investment Advisor
June 2007
Lauren Barack |
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms. |
Registered Rep.
March 31, 2015
Megan Leonhardt |
The Increasingly Happy Broker Generally speaking, the smaller the firm, the happier the broker, according to our fifth Independent Broker/Dealer Report Card survey. |
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. |
Registered Rep.
August 29, 2014
Megan Leonhardt |
Staying on Top What is LPL doing to minimize future regulatory problems? |
