LPL Financial Services

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  New Hire Roundup: Lynch Joins ByAllAccounts Board; Mariner Names Greiner CIO

  By Marlene Y. Satter, AdvisorOne  |  April 11, 2012

  This week in new hires, Matt Lynch joined ByAllAccounts’ board of directors; William Greiner became CIO at Mariner Wealth Advisors and FactRight brought in Scott Smith and Chris Bove.

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  SRO Bill May Arrive This Fall

  By Melanie Waddell, AdvisorOne  |  October 1, 2011

  Lawmakers and industry officials debated the merits in mid-September of whether there should be a self-regulatory organization (SRO) for advisors, and at least one industry official says to expect SRO legislation from the House this fall.

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  Ketchum Says FINRA Ready to Be Advisor SRO

  By Melanie Waddell, AdvisorOne  |  September 13, 2011

  Just days after House Financial Services Chairman Spencer Bachus, R-Ala., introduced draft legislation calling for one or more SROs for advisors, Rick Ketchum, CEO of FINRA, told lawmakers at a Tuesday hearing to discuss the draft bill that FINRA stands ready to take on that role.

• B/D Briefing: It's Time for More Clients

  By James J. Green, AdvisorOne  |  April 1, 2009

  "Great marketing," says Ruth Papazian, "is about being ahead of the trend in figuring out not only where the market is going, but where advisors...

• Changes

  By Kara P. Stapleton  |  December 1, 2008

  ? NAVA announced the election of Mark Casady, chairman and CEO of LPL Financial Services, as the chairman of its board. Casady replaces Clifford Jack,...

• Upgrades

  By Staff Writer  |  December 1, 2007

  LPL Financial Services has partnered with Fiduciary360 in a program under which LPL-affiliated advisors who wish to provide consulting services to retirement plan sponsors must...

• Changes

  By Staff Writer  |  November 1, 2007

  Securities and Exchange Commissioner Annette Nazareth announced October 2 her intention to leave the Commission to return to the private sector. With Nazareth's departure, the...

• Streamlining

  By Lauren Barack  |  June 1, 2007

  While broker/dealers have thrown practically everything technology-wise but chicken soup at advisors over the past several years, they've learned that choice can be overpowering. Sure, having...

• Changes

  By Staff Writer  |  May 1, 2007

  ING announced that Randall Ciccati, president and CEO of PrimeVest Financial Services, replaced Valerie Brown as president of ING Advisors Network, effective April 1. PrimeVest...

• LPL to Buy Three PacLife BDs and Near the 10,000-FA Mark

  By Janet Levaux, AdvisorOne  |  April 1, 2007

  After months of speculation, LPL Financial Services says it has reached a deal to acquire three of Pacific Life Insurance Company's broker-dealers: Mutual Service Corporation,...