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Financial Focus takes $446 million in assets from NPC to Securities America

November 16, 2017

Financial Focus, a hybrid RIA managing $446 million in assets in Carlsbad, Calif., has switched affiliations from National Planning Corp. to Securities America. The all-female advisory firm, founded in 1984, specializes in serving women investors....

LPL's recruiting of top advisers falls for third straight quarter

November 15, 2017

Recruiting large advisers, individuals or groups with more than $100 million or greater in assets has fallen off a cliff this year at LPL Financial. According to data publicly reported by the company, LPL has seen a sharp decline each quarter...

Can Robert Moore save Cetera?

November 11, 2017

Cetera Financial Group's Halloween office party this year, CEO Robert Moore dressed up as the Cowardly Lion from the "Wizard of Oz." A more appropriate costume might have been Hercules, who famously completed 12 labors as a penance, since many...

Measuring the 'Trump rally' against past presidents

November 9, 2017

The best and worst post-election stock market rallies from Dwight D. Eisenhower to Donald J. Trump. Since election day, the stock market has been on a tear, including a 15.7% gain by the S&P 500 Index so far this year. But, tracking the performance...

LPL loses another big team to Securities America

November 9, 2017

Securities America Inc. has snagged another large branch of advisers formerly affiliated with National Planning Holdings, the broker-dealer network LPL Financial bought in August for $325 million. Part of the Ladenburg Thalmann Financial Services...

LPL says it's on track to recruit 70% of National Planning Holdings revenue

November 8, 2017

A number of large teams in the National Planning Holdings adviser network have moved to rivals, but LPL Financial assured investors that in the initial phase of moving advisers from two of NPH's broker-dealers, it is on track to transfer 70%...

A $1 billion super OSJ leaves NPC for Royal Alliance

November 7, 2017

Strategic Partners, an office of supervisory jurisdiction that administered more than $1.1 billion in assets while affiliated with National Planning Corp., has affiliated with Royal Alliance Associates, part of the Advisor Group. Founded by...

Super OSJ managing $744 million leaves NPC

November 6, 2017

Elite Financial Network, an independent hybrid RIA and Super OSJ whose 35 advisers manage $744 million in advisory and brokerage assets, has switched affiliations from National Planning Corp. to Securities America. Based in Huntington Beach,...

LPL cuts fees for advisers using its corporate RIA platform

November 6, 2017

LPL Financial is cutting its administrative fee for advisers who custody advisory assets on the firm's corporate RIA platform. In a memo to its 14,000 advisers late Monday, LPL said it was introducing a simplified pricing structure on its strategic...

From Prospect to Pipeline: Building Strong Relationships

November 6, 2017

It’s imperative to articulate your value proposition at every opportunity. Clients expect quality service and performance, yet they truly desire that advisors personally relate to their needs. Learn more by downloading our white paper, From...

Former LPL broker loses $30 million claim against old firm

November 2, 2017

A one-time star broker with LPL Financial lost a securities arbitration decision last month in which he sought $30 million in damages claiming that the company ruined his career. The three-person Financial Industry Regulatory Authority Inc....

Two more NPH firms spurn LPL, affiliate with Woodbury Financial

November 1, 2017

Two firms affiliated with National Planning Holdings have changed their affiliation to Woodbury Financial Services, a unit of the Advisor Group. The Tenacity Advisory Group, a 52-adviser Super OSJ managing $2 billion in assets, has changed its...

New Jersey smacks LPL with fine of nearly $1M over REIT, BDC sales

October 30, 2017

Citing a breakdown in supervising its brokers concerning suitability requirements tied to sales of illiquid alternative investments, the New Jersey Bureau of Securities fined LPL Financial $950,000 and ordered it to pay $25,000 to a state investor...

LPL to pay $295,000 for Ponzi scheme probe in North Carolina

October 27, 2017

The state of North Carolina has fined LPL Financial $25,000 and ordered the broker-dealer to reimburse the state $270,000 for the cost of investigating a $1.4 million Ponzi scheme. From May 2012 to December 2014, Charles Fackrell of Booneville,...

Finra bars former LPL broker over no-show at hearing

October 27, 2017

The Financial Industry Regulatory Authority has barred former LPL broker Jerry Lee Travers from the securities industry for failing to appear for on-the-record testimony in connection with a Finra investigation. "The testimony was requested...

Finra awards 13 clients $5 million against rogue broker

October 26, 2017

A Finra arbitrator awarded more than $5 million to a group of 13 investors who claimed that a Georgia-based broker ruined their financial lives. The investors alleged that "their life savings and retirement assets were decimated" due to the...

Blaming the DOL fiduciary rule, LPL sees recruiting stall for second straight quarter

October 26, 2017

For the second consecutive quarter, recruiting stalled at LPL Financial, typically an industry powerhouse when it comes to hiring new advisers. In its third-quarter earnings release issued Thursday, parent company LPL Financial Holdings Inc....

LPL watching $100 million in NPH production move to rivals, executives say

October 23, 2017

Three key rivals of LPL Financial are scooping up advisers affiliated with the National Planning Holdings broker-dealers who annually generate $100 million in fees and revenues, known as gross dealer concession or GDC in the industry, according...

T. Rowe Price steps up its game to serve financial advisers

October 21, 2017

T. Rowe Price rode the no-load revolution of the 1980s and 1990s, spurning brokers, advisers and the sales loads that enticed them. And to this day, the vast bulk of its $938 billion in assets remains in no-load shares. But in the last few years,...

LPL retains $2 billion firm affiliated with NPC

October 19, 2017

Trilogy Financial, with over $2 billion in client assets one of the largest financial planning firms affiliated with National Planning Corp., said on Thursday afternoon it was joining LPL Financial. LPL in mid-August said it acquired the assets...

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