Subscribe

Harbor Lights team leaves LPL for Wells Fargo Advisors Financial Network

The $350M firm was concerned with joining a firm that could successfully navigate the DOL fiduciary rule.

A trio of financial advisers managing about $350 million of assets at Harbor Lights Financial Group have left LPL Financial for the independent brokerage arm of Wells Fargo & Co.

Co-founding partners Doug Lockwood, Rob Tendler and Ken Roberts of wealth management firm Harbor Lights Financial in Man

Subscribe or log in to read the rest of this content.

Learn more about reprints and licensing for this article.

Recent Articles by Author

Advisers on front lines in battle against financial abuse of the elderly

As the population ages, more seniors are at risk of becoming victims of financial exploitation.

Finra panel directs UBS to pay $750,000 for Puerto Rico investment damages

Awards for damages tied to the island's debt crisis continue to climb this year.

Massachusetts regulator William Galvin charges broker with high-pressure sales tactics that harmed elderly

One customer with stage 4 cancer allegedly had nearly all her assets placed in a variable annuity.

Morgan Stanley to keep commission-based IRA business despite DOL rule in contrast to Merrill Lynch

Morgan Stanley clients may also choose individual retirement accounts that are fee-based.

Trump victory prompts optimism, risk-taking among wealthy investors, UBS survey finds

More than half of those surveyed plan to talk to their financial advisers about policy changes that will impact their investment portfolios and financial planning strategies.

X

Subscribe and Save 60%

Premium Access
Print + Digital

Learn more
Subscribe to Print