LPL Financial

LPL Financial

Share:

Business head: Matthew Enyedi

No. clients: 342

AUC: $105,000

Min. assets: None

joinlpl.com

In the News

How a preacher's son won 51 LGBT clients

June 17, 2019 - I was settling the estate of a longtime client when his son shared life-changing news. He was transitioning to a woman and planning gender reassignment surgery. I grew up in church — the son of a preacher — and was taught to love. It made sense to...

How a preacher's son won 51 LGBT clients

June 17, 2019 - I was settling the estate of a longtime client when his son shared life-changing news. He was transitioning to a woman and planning gender reassignment surgery. I grew up in church — the son of a preacher — and was taught to love. It made sense to...

Finra bars former LPL rep for non-cooperation

June 7, 2019 - The Financial Industry Regulatory Authority Inc. has barred Jason Nelson, formerly a registered representative affiliated with LPL Financial, for declining to take part in an inquiry into his sales practices. (More:​ Finra bars former LPL rep over no-show...

Advisers managing $185 million at Waddell & Reed go indie with LPL

June 5, 2019 - Three advisers who managed $185 million at Waddell & Reed Financial Advisors in Idaho Falls, Ida., have left and formed Teton Wealth Management, affiliating with the broker-dealer and registered investment adviser platforms of LPL Financial. (More:​...

Protecting client data is an ongoing obligation

June 1, 2019 - Redtail Technology's recent data leak is a reminder of the weighty responsibilities financial advisory firms face when it comes to cybersecurity. Redtail's customer relationship management system contained data about clients of advisory firms that use...

LPL cuts ticket charge for some ETFs on key RIA platforms

May 30, 2019 - LPL Financial said on Thursday it was making another move to attract assets by cutting transaction charges on exchange-traded funds on two key advisory platforms for advisers from $9.00 to $4.95. The new pricing will go into effect in the second half...

Adviser managing $275 million at Ameriprise goes indie through LPL

May 29, 2019 - Mike Bensey, who managed $275 million as an employee adviser at Ameriprise in Orlando, Fla., has gone independent using the support services of Good Life Companies. As with Good Life's other affiliated registered representatives, he is using LPL Financial's...

Team managing $100 million at Merrill Lynch goes indie with LPL

May 23, 2019 - A father-and-son team managing $100 million at Merrill Lynch in Lufkin, Texas, has formed Brookshire & Brookshire Wealth Management, an independent hybrid. The firm has affiliated with the broker-dealer unit of LPL Financial and is using its corporate...

LPL expanding platform to include employee brokers

May 22, 2019 - LPL Financial, which has grown into one of the largest brokerage firms in the country by hiring advisers who act as independent contractors, is creating a new model which would employ brokers working directly for the firm. In a presentation to investors...

Finra bars former LPL rep over no-show at hearing

May 20, 2019 - The Financial Industry Regulatory Authority Inc. has barred a former broker for failing to take part in a hearing looking into his alleged outside business activities when he was employed by LPL Financial. (More:​ Finra bars former Morgan Stanley rep...

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

For comments or suggestions about the Adviser Center, please contact us.

Most watched

INTV

Young advisers envision a radically different business in five years

Fintech and sustainable investing are two factors being watched closely by some of the 2019 class of InvestmentNews' 40 Under 40.

INTV

Young professionals see lots of opportunity to reinvent the advice experience

Members of the 2019 InvestmentNews class of 40 Under 40 have strategies to overcome the challenges of being young in a mature industry.

Latest news & opinion

InvestmentNews' 2019 class of 40 Under 40

Our 40 Under 40 project, now in its sixth year, highlights young talent in the financial advice industry. These individuals illustrate the tremendous potential of those coming up in the profession. These stories will surprise, entertain, educate and inspire.

Galvin to propose fiduciary rule for Massachusetts brokers

The secretary of the commonwealth is proposing a fiduciary standard in response to an SEC investment-advice rule he views as too weak.

Summer reading recommendations from financial advisers

Here are some books that will keep you informed and entertained during summer's downtime

4 strategies for Roth conversions

There's never been a better time to do a Roth conversion, and here are several ways to go about it.

Cetera latest to be hit with data breach of personal information

Company is offering clients complimentary, two-year membership to an identity theft protection and credit monitoring service.

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.