Displaying 12 results
LPL adds former baseball pro to Momentum Wealth bench
The pitcher-turned-wealth manager is part of a $380M advisor team in Delaware that’s joining LPL from PNC Investments.
Stifel taps ex-Merrill Lynch leader in continued growth push
The broker-dealer giant’s new managing director is starting afresh after serving at the BofA wirehouse for 35 years.
Veteran advisor duo skips from Stifel to LPL
The two advisors, who reported managing $300M in assets, are launching their own independent practice based in Illinois.
Pontera unveils 401(k) mega-partnership with Stifel
The collaboration will let over 2,400 advisors manage retirement plan assets for more than 200,000 clients across the wealth giant’s enterprise.
Stifel employees leave after probe into ‘inappropriate relations’
A spokesperson for the St. Louis-based firm says it has 'taken appropriate action,' with one of the employees going through a 'legal process.'
Raymond James broadens California footprint with ex-Stifel advisor
The brokerage firm’s employee advisor arm deepens its bench with a three-decade veteran of the industry.
Repeat flubs at Stifel over complex products: Finra
Stifel broker-dealers agree to fines and restitution of almost $3 million as a result of shortcomings in supervision and compliance related to sales of non-traditional exchange-traded products.
Stifel unveils deal betting on CD business
Wealth giant agrees to acquire platforms to future-proof its certificates of deposit offerings.
Sanctuary lands $1B team from Stifel
The Indianapolis advisory practice, which includes a five-decade industry veteran, is Sanctuary's third big firm in the area.
LPL Financial welcomes Kansas boutique practice
The team is coming under LPL’s umbrella after managing $150M in advisory, brokerage, and retirement plan assets at Stifel.
Holistic wealth management starts with transition services
Attending to advisor well-being, starting with onboarding, helps advisors weather the inevitable storms that come with managing other people’s money in an unpredictable world.
LPL’s employee channel gains $200M Stifel advisor to launch new office
Advisor and client services associate are focused on complex needs of HNW clients.
