LPL Reports $1.1 Trillion in Advisory and Brokerage Assets in 2Q21

July 30, 2021

Royal Alliance Super-OSJ Acquires $4.5 Billion Firm

July 30, 2021

SEC Fines Dozens of Financial Firms for Missing Form CRS Filing Deadlines

July 28, 2021

LPL Financial Recruits Former Cetera Team

July 23, 2021

Gideon Affiliates with The Leaders Group, Appoints Partner and Head of Family Office Group

July 22, 2021

LPL Financial Adds Former Ameriprise Team

July 13, 2021

Advisor Group Hires Former RBC Executive as EVP of Business Development

July 9, 2021

Former Wells Fargo Advisors Launch Independent Practice with LPL

July 1, 2021

Crown Capital Securities to Pay $1.6 Million to Settle SEC Charges

June 28, 2021

Lasalle St. Recruits Philadelphia-Area Investment Advisory Practice

June 28, 2021

LPL Financial Recruits 30-Member OSJ Formerly with Voya

June 25, 2021

SEC Fines Guggenheim Securities $209,000 for Alleged Whistleblower Protection Violations

June 24, 2021

Former Wirehouse Team Launches Independent Practice with LPL Financial

June 22, 2021

$1.2 Billion Former UBS Team Goes Indie with LPL-Affiliate Gladstone

June 17, 2021

LPL Financial Recruits Former Northwestern Mutual Advisors

June 15, 2021

Advisor Group’s SagePoint Financial Recruits Five Wealth Management Practices

June 15, 2021

LPL Affiliated Stratos Wealth Partners Adds $120 Million Advisor

June 9, 2021

FINRA Alerts Firms to New Phishing Campaign Using Fraudulent Email

June 8, 2021

Centaurus to Pay $1.3 Million to Settle SEC Charges

June 4, 2021

LPL Financial Recruits Former Blucora Team

June 3, 2021