LPL Financial has agreed to pay an $18 million civil penalty for the SEC described as significant shortcomings in the firm's anti-money laundering program. The reported violations, which occurred ...

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 ...

Curious if LPL Financial Holdings is trading at a fair price, or if there's an opportunity waiting to be seized? You're not alone. Valuing this stock is top of mind for many investors right now. LPL ...

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 ...

LPL Financial has informed the SEC that it plans to raise up to $4 billion in capital through the sale of common stock and debt securities. The broker-dealer submitted an S-3 filing with the agency on ...

A federal judge ordered that nearly 30 financial advisors who moved from Ameriprise to LPL and potentially transmitted confidential client information must submit to a review of whether it was ...

When LPL Financial said it would acquire Commonwealth Financial Network, it sparked a recruiting frenzy. Rivals have swooped in to offer Commonwealth advisors lucrative deals to switch firms while LPL ...

LPL Financial saw its net new asset haul surge in the fourth quarter as it welcomed the wealth management unit of the insurer Prudential into its fold. LPL reported Thursday that it hauled in $68 ...