Articles tagged "LPL"
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Orion draws a record pack of hackers to Utah to code, bond -- and compete
From 7,000 feet above sea level, 90 RIA software types breathed thin air en route to zapping redundant portals
September 12, 2016 at 6:56 PM
How LPL's wolf pack of hedge funds only added to its stake, even as a mini-faction of non-hedge directors tried to hold them in check
As the Boston IBD's annus horribilis continues unabated, PE-friendly directors are joining the board with little opposition
September 7, 2016 at 8:54 PM
PE-backed Cetera board member Robert Dineen sees Larry Roth to the door, takes CEO reins
A former secret service agent and Merrill Lynch exec, Robert Dineen is known for leading by example and delivering results
September 2, 2016 at 8:08 PM
Sources: Larry Roth is out at Cetera, supplanted by ex-LPL president, Robert Moore
A column co-written by Roth and Moore earlier this month hinted to some that Cetera's newly rechristened parent firm is still actively engaged in refurbishing its image
August 26, 2016 at 6:06 PM
What to make of LPL freezing the wages of most staffers -- and some reaction to the company's explanation
Cost savings may be less the issue than the desire to turn a page, change a culture and even headhunt Google- and Goldman Sachs-like visionary execs
August 19, 2016 at 3:17 AM
LPL restores OSJ rights to $35-billion AUA super-rep that just kept growing during its three-year ordeal
By taking compliance back in-house, IFP slashes its $1 million compliance budget in half and gains a lost flexibility, according to founder Bill Hamm
July 11, 2016 at 6:12 PM
Schwab launches biggest RIA-targeted price war in years -- but TD and Pershing say they won't play along
In what may be a prelude to commission-free RIA custody era, Schwab eliminates equity and ETF commissions for all new clients for a year; Fidelity says it is still cheaper
July 1, 2016 at 8:25 PM
LPL Financial dumps FSI then goes full swank on lobbying office -- but legislative agendas of FSI and LPL don't reveal any divide
The big broker-dealer stopped paying dues to the Financial Service Institute but it'll pay up for hot offices near the White House
June 8, 2016 at 10:19 PM
Edelman Financial gets its CEO from LPL but the chief executive's job description isn't exactly what the old one was
The $16-billion-AUM RIA's poach of Ryan Parker gives Ric Edelman the bandwidth to exert more of his people power
May 31, 2016 at 8:47 PM
LPL invites 180 of its bigger-book reps to Dana Point as part of its latest Fortigent-fortified bid to move upmarket
Attendees said fast-talking presenters belied LPL's aspirations but perhaps bolstered its claim that the hoi polloi won't be forgotten
May 5, 2016 at 8:04 PM
With BlackRock ahead and blue ocean behind, LPL finds its robo comfort zone
With the 150 basis-point-plus price of Guided Wealth Portfolios, LPL's robo plan doesn't look so robo, except for the onboarding
April 15, 2016 at 7:59 PM
LPL unveils BlackRock's FutureAdvisor as its robo partner -- albeit with LPL model portfolios
After Nestwise dropped off the twig, then crickets, then a secret pilot launch, LPL announces that robo FutureAdvisor gets the nod
April 13, 2016 at 6:15 PM
The odd logic 'Enron' lawyers are relying on to sue LPL Financial for securities fraud -- logic that's attracted five potential copycat investigations in 10 days
Does it make sense that Mark Casady would want to puff up his company's shares prior to buying back $275 million worth of shares? A lawsuit wants to know.
March 30, 2016 at 6:24 PM
The RIA-ification intrinsic to LPL's preemptive DOL policy changes -- yet how tightly to revenue sharing in IRAs it is hanging
LPL's super-clients like Private Advisor Group see a clear 'advisory' future but LPL is walking a more shrub-choked hybrid path
March 22, 2016 at 9:30 PM
As variable annuities face 'existential crisis,' LPL's Casady is latest to warn of end to commission-sold VAs in retirement plans
DOL's imminent final rule is prompting LPL and Commonwealth to consider nixing traditional VAs in qualified retirement plans
