Updated Saturday, December 20, 2014 as of 12:56 PM ET

Ex-LPL Exec's New Firm Has Ties to SEC-Barred Advisor

Four months after resigning "in light of the company's concerns about [his] interactions with other employees," a former LPL Financial executive has a new job -- with a firm whose recent regulatory history might fall under the label, "it's complicated."

Get access to this article and thousands more...

All On Wall Street articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

Comments (2)
This has to be one of the most entertaining opening paragraphs ever written in Financial Planning. Thank you, Ann Marsh, for the laugh. It pretty much tells us everything we need to know.
Posted by Valerie P | Thursday, August 07 2014 at 3:44PM ET
This has to be one of the most entertaining opening paragraphs ever written in Financial Planning. Thank you, Ann Marsh, for the laugh. It pretty much tells us everything we need to know.
Posted by Valerie P | Thursday, August 07 2014 at 3:45PM ET
Add Your Comments:
Not Registered?
You must be registered to post a comment. Click here to register.
Already registered? Log in here
Please note you must now log in with your email address and password.

Already a subscriber? Log in here