LPL Financial

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  Women Investors’ 4 Key Stages Are Focus of LPL Marketing Platform

  By James J. Green, AdvisorOne  |  April 3, 2012

  Practice management and marketing tools revolve around life stages where “advisors are often a resource,” says Marissa Fox-Foley of LPL, and represent an “incredible opportunity.”

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  LPL Financial Names Joan Khoury Chief Marketing Officer

  By James J. Green, AdvisorOne  |  February 27, 2012

  Former Merrill, Wachovia, BONY marketing veteran to head up largest independent broker-dealer’s marketing efforts.

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  New Hire Roundup: Oliner, Kleinke Join AEI; Bozek Advances at Prudential

  By Marlene Y. Satter, AdvisorOne  |  February 2, 2012

  This week in new hires, Stephen Oliner and JD Kleinke went to AEI; Joan Bozek was promoted at Prudential Retirement; Steven McKay and Joseph Kaplan went to Putnam Investments.

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  LPL Financial to Acquire Alternative Investment Firm Fortigent

  By John Sullivan, AdvisorOne  |  January 3, 2012

  Fortigent will continue to operate autonomously from its Rockville, Md., headquarters and its existing management team will remain in place, reporting directly to Robert Moore, LPL Financial's CFO.

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  S&P Warns Eurozone of Downgrades

  By Marlene Y. Satter, AdvisorOne  |  December 6, 2011

  Standard & Poor’s warned 15 eurozone nations, including several top-rated ones, that they might be subject to downgrades if a planned summit meeting of eurozone leaders fails to come up with a satisfactory course of action to resolve the bloc’s debt crisis.

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  Shakespeare Nails the Supercommittee: News Analysis

  By Gil Weinreich, AdvisorOne  |  November 22, 2011

  Of the whole sorry saga, from the debt-ceiling deadline to the supercommittee deficit impasse, Shakespeare seemed to say of our national economic life that it is “a tale told by an idiot, full of sound and fury, signifying nothing."

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  Big U.S. Banks Are ‘Uninvestable,’ Say Industry Insiders at SIFMA Meeting

  By Joyce Hanson, AdvisorOne  |  November 8, 2011

  Industry insiders criticized big U.S. banks as being “uninvestable” on Tuesday at the Securities Industry and Financial Markets Association’s (SIFMA) annual meeting in New York.

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  Five Good Questions for LPL's Jeffrey Kleintop

  By Bob Seawright, Madison Avenue Securities  |  November 7, 2011

  The chief investment officer shares his views on the markets, Occupy Wall Street and more.

• Former Top FINRA Official Shorris Joins LPL

  By Melanie Waddell, AdvisorOne  |  September 30, 2011

  LPL Financial announced Friday that it has hired James Shorris, a former top enforcement official at FINRA, as executive VP and associate counsel for regulatory and compliance policy.

• FINRA Disciplines Merrill, LPL, National Financial, Van Kampen

  By Marlene Y. Satter, AdvisorOne  |  September 28, 2011

  FINRA took disciplinary action against Merrill Lynch, LPL Financial, National Financial Services and Van Kampen Funds. Merrill was censured and fined $400,000 on findings that it failed to enforce its anti-money laundering rules.