Western International Securities was acquired by LPL this year.
The firms are extending their footprints with new recruitment moves in Arizona, Massachusetts, and Florida.
The investment giant caused two SPACs it controlled to make inaccurate statements to investors about merger discussions, according to the federal regulator.
Survey research unpacks the different financial concerns, realities, and regrets shared by women retirees and workers.
Survey research reports from Nationwide and Fidelity show how past missteps and unplanned expenses are driving people's new year commitments.
“The arbitration panel felt that [the advisor] was disrespecting the process,” the clients' attorney said.
While RayJay boosts its presence in Utah with its latest employee advisor additions, LPL is strengthening its ranks in the Northeast.
“Private credit and infrastructure remain attractive," LPL said.
The three individuals impersonated legitimate financial professionals and used voice-altering technology to deceive at least 28 retail investors, according to a court filing by the regulator.
Deal for Boston-based tech provider opens the door for an industry-first solution with real-time unified managed household and tax capabilities for advisors.
Inaugural survey report finds three-quarters of DC plan leaders expect demand for lifetime income to grow over five years – but 'annuity fluency' could pose challenges.
“It’s probably the most important issue relating to investor justice,” the SEC's ombudsman said at the Investor Advisory Committee meeting Tuesday.
The global financial giant is expanding its focus beyond the mega-affluent as it looks to compete with rival banks on Wall Street.
David Underwood sold unregistered Heartland fund securities to 20 clients, including his wife, according to the SEC.
The leading TAMP provider is wading into the deeper end of financial planning with hopes to develop estate planning, retirement, and multi-generational wealth solutions.
Survey findings reveal low levels of financial literacy among high school, college students, and new workers, with just one-fourth reporting high concerns around their ability to retire in their 60s.
The seasoned professional with more than two decades' experience at the firm will take charge of a nationwide team to draw top-caliber veteran talent.
“Professional conduct is one of those key issues a board has a responsibility to measuring and understanding,” one senior industry executive said.
LPL's former CEO Dan Arnold this summer said it was parting ways with two large hybrids.
The firm's first-ever financial advisor in New York City, Stu Berrin brings over 30 years of industry experience to his new role as managing director and partner.
