LPLA LPL Financial Holdings Inc.

According to FINRA, Rudy Anguiano allegedly transferred funds from two clients to a separate account for his own LLC. LPL reimbursed both customers in full after discovering the misconduct.

Find insight on the retirement income market, life insurance providers, UBS Group and more in the latest Market Talks covering Financial Services.

Fed officials are still talking tough on rates while mortgages hover near 6.95% and auto loans sit close to 9.49%. At the same time, cash parked in short‑duration and money‑market strategies is finally earning something again. That mix can reward investors who understand which stocks gain from higher short‑term yields and tighter credit. This article unpacks that story and walks through 3 stocks exposed to these forces from the U.S. Short‑Duration Cash & Money‑Market Asset Managers...

LPL Financial Holdings (LPLA) has been active on two fronts, reporting August client assets of $2.60b and onboarding advisory teams overseeing about $1b transferred from competitors. Recent moves in client assets and advisor recruiting are playing out against a choppy share price backdrop for LPL Financial Holdings. The stock closed at US$314.36, with the 1-day share price return up 3.83% but the 30-day share price return down 12.74%, while the 90-day share price return is up 16.97%. Over a...

Shares of independent financial services firm LPL Financial (NASDAQ:LPLA) jumped 5.1% in the afternoon session after the company reported that total client assets reached $2.60 trillion at the end of August 2026, up $55.3 billion, or 2.2%, from July. According to the company’s monthly activity release, total organic net new assets were $13.5 billion for the month, a 6.4% annualized growth rate, while client cash balances rose to $54.4 billion. Separately, LPL said financial advisors Jon Burnett,

In recent weeks, LPL Financial reported that two Salt Lake City-area advisory teams managing about US$1.00 billion and a Texas team overseeing roughly US$430.00 million in client assets have joined its platforms, alongside an August 2026 activity update showing total client assets of US$2.60 trillion and higher advisory asset mix. Together, the advisor additions and growing advisory share of assets highlight how LPL Financial is enlarging its platform while deepening its fee-based business...

As most financial advisors know, having some solid dividend stocks can cushion a portfolio’s volatility, reduce reliance on stock price appreciation, and allow for better sleep. BP Kraft Heinz and Morgan Stanley are just a few of the 11 stocks mentioned. Concerns about the impact of artificial intelligence on brokerage firms have repeatedly driven selloffs this year.

In addition, Verdence completes its second deal since selling a majority stake, Modern Wealth acquires a $290 million California firm in its sixth deal of 2026, and Carson Wealth adds a Great Lakes advisor team.

In other advisory tech news, Altruist expands alts marketplace, Snappy AI launches, another acquisition for F2 and InvestCloud launches Altic.

Renasant Corporation (NYSE:RNST) has long maintained a steady footprint across the Southeastern banking sector, backed by historical multi-year revenue growth, robust operating cash flow generation, a fortressed balance sheet, a stable return on invested capital/ROIC, and dependable free cash flow conversion. These fundamental pillars form our core equity thesis: Renasant is a disciplined compounding regional […]

LPLA's August activity shows strong client and advisory asset growth, with acquisitions and solid NNAs supporting its asset-gathering strategy.

LPL Financial Holdings Inc. (NASDAQ:LPLA) is the largest independent broker-dealer in the U.S. The company offers custody, technology, and operational infrastructure to independent financial advisors. On September 22, 2026, the stock fell 7.5% to $307.50, the day’s one of the biggest large-cap drops, and trades at 23% below its 52-week high of $400.16. Two things […]

BEST PRACTICES LPL Financial’s recruiting efforts netted it several financial advisors who collectively oversaw more than $1.4 billion in client assets at Raymond James Financial and Northwestern Mutual, the company says.

Savings accounts, short-term Treasury bills and money-market funds paid little yield when interest rates were near zero. The Federal Reserve’s rate hikes starting in 2022 reset the bar for what cash could pay out to investors. On top of that, the advance of technology and new forms of banking and money not only add new competitors for cash—neobanks, stablecoins, tokenized or exchange-traded Treasury bills—but make it increasingly easy to switch cash from where it earns little, to where it earns more.

Concerns about AI have repeatedly sparked selloffs of shares of brokerage firms. On Tuesday, Meta’s Muse AI agent became the latest catalyst.

Muse, the new artificial-intelligence agent from Meta Platforms, threatens to disrupt wealth managers, brokerages and insurers. Here are some of the stocks from those worlds that were deemed vulnerable in Tuesday trading.

The Morning Bull - US Market Morning Update Wednesday, Sep, 23 2026 US stock futures are flat to slightly higher this morning, with S&P 500 contracts hovering near unchanged as investors weigh interest rates, inflation and oil. The US 10 year Treasury yield has been pushed up by firm central bank messaging that borrowing costs may stay high while inflation remains a concern. At the same time, oil prices are easing, which can help lower fuel and transport costs for households and businesses. A...

Shares of major U.S. lenders fell on Tuesday as investors rotated away from the sector and into technology stocks.

The rapid adoption of the new artificial-intelligence agent threatens to disrupt wealth managers, brokerages and insurers.

A number of stocks fell in the afternoon session after investors kept bidding the group lower after last week’s Federal Reserve hike. On September 16, the Fed raised the federal funds target range by 25 basis points to 3.75%–4.00%, its first increase since 2023, according to the Federal Reserve’s FOMC statement. The Fed said economic activity and domestic spending remain resilient, but stressed that inflation is still elevated and that the increase is intended to support a return to its 2% infla

In a newly filed suit, Aldina Barry says she worked for LPL for more than 25 years and argues new performance metrics were used to justify her dismissal.

Global bond yields are climbing, inflation worries are back on the table, and cash suddenly looks more interesting than it did a couple of years ago. Money is shifting again as investors reconsider how to park short-term funds while still keeping options open. This article walks through three stocks linked to money market and ultra short cash management themes that are exposed to these macro shocks, and describes how each one may be relevant for portfolio decisions in the current...

Valero Energy (NYSE: VLO) has appointed Matt Audette as an independent director and member of its Audit Committee. Audette currently serves as chief financial officer of LPL Financial and previously held the EVP/CFO role at E*TRADE. The board assigned Audette to the Audit Committee, adding deep financial reporting and regulatory experience to that group. The appointment of Matt Audette to Valero's board and Audit Committee is a governance shift that investors should weigh carefully. Take a...

Financial firms serve as the backbone of the economy, providing essential services from lending and investment management to risk management and payment processing. These companies have benefited from improving market activity and economic fundamentals, so it’s no surprise the industry has posted a 15% gain over the past six months, nearly mirroring the S&P 500.

The Federal Reserve’s expected rate hike is unlikely to hurt the stock market much—that is, if recent history is any guide. The Fed has launched rate-hike campaigns six times since the mid-1990s. In most cases, stocks took a hit in the first four months after the initial rate increase, but then quickly recovered, according to an analysis by LPL Financial.

Katharine Reeping disposed of $152,719 in stock at $347.88 per share, reducing her direct holdings by 20% while retaining restricted stock units vesting through 2029.

Twenty-eight advisors managing $825 million chose Gateway Financial Partners over following Sierra Ridge to Cetera, citing partnership culture and platform continuity.

LPL Financial Holdings has delivered a powerful 5 year run, yet recent share price softness raises a sharper question for investors who care about what the business actually earns on its capital. With the stock now trading around US$345.66, the key issue is whether those returns on invested capital really line up with where the market is pricing the company today. LPL Financial Holdings has returned roughly 148% over 5 years, which puts real pressure on the underlying return on capital to...

The best-performing stocks typically have robust sales growth, increasing margins, and rising returns on capital, and those that can maintain this trifecta year in and year out often become the legends of the investing world.

Jambusaria maintains 6,107 direct shares.

Wall Street has set ambitious price targets for the stocks in this article. While this suggests attractive upside potential, it’s important to remain skeptical because analysts face institutional pressures that can sometimes lead to overly optimistic forecasts.

Dan Arnold, the former CEO of LPL Financial who was ousted for unspecified reasons, has taken a role as executive chairman of the board at Stirlingshire Investments, a New York-based wealth manager and technology provider. Stirlingshire says that Arnold will “serve in an active leadership role” with the company, working directly with CEO Steven Woods and the rest of the leadership team, advancing the company’s advisor-recruiting efforts, partnerships with outside firms, and other strategic initiatives.

Arnold will serve as executive chairman at the New York wealth management platform, which plans to launch its AI-native operating system next week.

Traders widely expect an interest-rate hike—the first in more than three years—from the Federal Reserve when it meets next week.

In other deal news, Wealthcare adds a $550 million RIA to its 1099 channel, OnePointBFG expands in Florida, and Hightower pulls a $1.6 billion affiliate into its Signature Wealth employee advisor business.

A gathering for LGBTQ advisors and allies the day before LPL's flagship Focus conference drew executives, big-name sponsors and a standing-room crowd. So Marci Bair and other organizers are planning a standalone event next spring.

The deal marks the firm's fifth acquisition this year and its third in Florida over the past five months, bringing total assets under management to more than $15 billion.

With an influx of cash, financial advisory firms say they can improve technology, recruit talent, and branch out to offer clients more services.

The Singapore dollar consolidates against its U.S. counterpart in the Asian session ahead of U.S. PPI data and CPI data.

Fifty years ago this Monday, Jack Bogle’s Vanguard launched its First Index Investment Trust, now known as the Vanguard 500 Index Fund. Passive index funds like the Vanguard 500 Index fund are how many investors invest today—as of 2024, there are more assets in passive funds than actively managed ones, according to Morningstar. For this week’s Big Q feature, we queried four wealth management leaders about what the elections could mean for markets.

Charles Schwab stock, along with Robinhood Markets, Ameriprise and LPL Financial, are in or near buy zones in the ongoing stock market action.

Growth is oxygen. But when it evaporates, the consequences can be severe - ask anyone who bought Cisco in the Dot-Com Bubble or newer investors who lived through the 2020 to 2022 COVID cycle.

Advisors in Transamerica’s network will now have access to Great Lakes Advisors’ Large Cap Value UMA and SMA strategy.

The rise in bond yields is a global phenomenon, rooted in investors’ unease over unchecked government spending and intensified by bets that central banks may keep interest rates higher for longer.

Rajes will lead the company’s technology strategy across architecture, systems integration, data and AI.

The St. Louis-based hybrid broker/dealer brought on practices from Commonwealth and Wells Fargo, reaching $60B in total assets.

LPL Financial Holdings recently saw Sierra Ridge Advisor Group, an office of supervisory jurisdiction with about US$2.10 billion in assets and around 40 advisors, leave for Cetera to support its national expansion plans. At the same time, LPL has been reshaping its leadership and technology capabilities, including appointing Jonathan Lewis as chief technology and information officer under newly titled group managing director Greg Gates, highlighting an intensified focus on product and...

Wealth management company Cetera recruited a financial advisor practice overseeing approximately $2.1 billion in assets under administration from rival LPL Financial adding to Cetera’s recruiting streak. The practice, called Sierra Ridge Advisor Group, operates as an office of supervisory jurisdiction, providing additional resources to advisors that affiliate with it. Sierra Ridge, which has about 40 affiliated advisors, says it helps with compliance, staffing, technology, and marketing.

The Roseville, Calif.-based OSJ leaves LPL to launch its own RIA on Cetera's Blueprint platform.

The former LPL Financial and Altruist executive will lead revenue strategy for the asset manager's custody and clearing business as it expands into wealth services.