Several factors have driven down financial advisor movement, and LPL Financial CEO Dan Arnold sees "interesting questions" for the firm to answer in that environment, he said. Processing Content In ...

Two weeks after it was sued for a program in which it makes money on parked client cash, LPL has been sued again by another client for the same reason. These accounts, known as cash sweeps, have ...

LPL Financial failed to follow its own anti-money laundering procedures for client identification across more than 12,000 accounts over nearly five years, according to the SEC. "Federal law requires ...

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and enterprises, and not the other way around. Today, LPL is a leader in the markets we ...

And it could be a big one, said one industry executive. “It looks like LPL is getting ready for a large buy,” said the executive, who spoke privately to InvestmentNews about the matter. “It’s moving ...

Prudential Financial and LPL are deepening their collaboration with a new offering to broaden access to protected retirement solutions for financial advisors. In a statement Monday, Prudential ...

LPL Financial, a financial services firm with several thousand employees in the Charlotte region, will pay $18 million for anti-money laundering violations, the Securities and Exchange Commission said ...

Good afternoon, and thank you for joining the Fourth Quarter 2023 Earnings Conference Call for LPL Financial Holdings Inc. Joining the call today are our President and Chief Executive Officer, Dan ...

LPL this week appointed Vaughn Harvey as chief data and artificial intelligence officer, a newly created role. Harvey will oversee data and AI initiatives and the firm’s ongoing digital transformation ...