CLICK HERE FOR PODCAST In this special episode, Roger and Brian unpack the deeper implications of LPL’s acquisition of Commonwealth for advisors. From hidden non-solicit clauses to vendor lock-in, platform disruptions, and shifting custodianship, this isn’t just a firm-changing event—it’s potentially a career-defining one.
On May 6, 2015, LPL Financial LLC (“LPL”) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial Industry Regulatory Authority’s (“FINRA”) Department of Enforcement to settle allegations that LPL violated FINRA supervisory rules. The AWC was submitted “without admitting or denying the findings,” and on the condition…
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