Results for "stifel financial corp"

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Cross-selling can be lucrative — and dangerous — for big brokerages

February 21, 2019

Merrill Lynch and Wells Fargo Advisors currently stand at opposite ends of the spectrum when it comes to advisers selling or recommending banking products to clients. Owned by Bank of America Corp., Merrill Lynch is embracing the practice and...

Regional broker-dealers quietly making comeback now, but the future remains uncertain

December 15, 2018

The financial advice industry frequently focuses on the rise of registered investment advisers and the independent broker-dealer market when it talks about trends in the business. But quietly making a comeback are regional broker-dealers, firms...

Stifel subsidiary acquires $1.3 billion San Francisco-based RIA

October 2, 2018

1919 Investment Counsel, a subsidiary of Stifel Financial Corp., has acquired San Francisco-based independent registered investment adviser Rand & Associates, which manages approximately $1.3 billion in client assets. "The Rand acquisition gives...

Stifel CEO Kruszewski named chairman of American Securities Association

September 12, 2018

Ronald J. Kruszewski, chairman and chief executive of Stifel Financial Corp., was named chairman of the American Securities Association on Wednesday, helming a group that represents regional financial firms in Washington. Mr. Kruszewski will...

Stifel lands financial advisers from UBS, Merrill Lynch, Wells Fargo Advisors

September 4, 2018

Stifel Financial Corp. has landed three financial advisers from UBS, Merrill Lynch and Wells Fargo Advisors. Altogether, the new hires managed $520 million in client assets. The financial advisers have joined Stifel Nicolaus & Co., the firm's...

Former manager for New York pension fund sentenced to 21 months for taking bribes for brokers

July 13, 2018

A former portfolio manager for New York's main pension fund must serve 21 months in prison for accepting gifts including concert tickets, drugs and luxury watches from brokers in exchange for steering billions of dollars in business to their...

Stifel CEO Ron Kruszewski blasts firms that try to restrict broker movement

May 1, 2018

Registered reps and financial advisers should not be tethered to the firm's they work for, according to Ronald Kruszewski, chairman and CEO of Stifel Financial Corp. When firms restrict advisers from potentially moving to a new employer, it's...

DOL fiduciary rule responsible for drop in Stifel adviser headcount: CEO

January 30, 2018

Stifel Financial Corp.'s net loss in financial advisers last year was largely attributable to the Department of Labor fiduciary rule, which caused the firm's advisers to retire in greater-than-usual numbers, a company executive said Tuesday....

Brokerage stocks still have room to run: analyst

January 8, 2018

The stocks of smaller, mid-cap brokers, most notably LPL Financial Holdings Inc., and electronic trading firms have the greatest potential valuation upside in 2018. Various policy tailwinds and economic drivers appear poised to give a shot to...

After a superb 2017, brokerage stocks should continue to roll next year

December 22, 2017

With the broad market rising throughout 2017, stocks of brokerage firms shined. The iShares U.S. broker-dealers and securities exchanges ETF posted an increase of 26% for the year through trading Friday morning, while the S&P 500 index was up...

Stifel to acquire $4.8 billion Ziegler Wealth Management

October 30, 2017

Stifel Financial Corp. has agreed to acquire Ziegler Wealth Management, the retail business of B.C. Ziegler & Company. Terms of the transaction were not disclosed and it is expected to close in the first quarter of 2018. Chicago-based Ziegler...

It's been a good year for publicly traded brokerage firms — but not all

September 13, 2017

Wall Street's expectation of a pullback in securities regulation by the Trump administration and a delay or outright repeal of the Department of Labor's fiduciary rule has launched a rally this year in brokerage stocks — at least for most...

Top independent broker-dealers reveal their payout tables

January 22, 2017

The 2017 InvestmentNews independent-broker-dealer directory is based on information provided by 90 eligible firms. To be considered for future listings, contact Visit for more-complete...

Finra panel: Broker owes former employer $260,000 after allegedly overstating book of business

November 16, 2016

Jeffrey Matthews Financial Group is clawing back $260,000 in damages from a broker it fired last year after he allegedly misrepresented his book of business, according to the Financial Industry Regulatory Authority Inc. Donald Lee Watson Jr....

Shares of independent broker-dealers, wirehouses get boost from Trump victory

November 9, 2016

Shares of broker-dealers and wirehouses soared in trading Wednesday, the day after Donald Trump was elected president. By noon, shares of LPL Financial Holdings Inc. were up 8.7%, Raymond James Financial Inc., 6.1%, Ameriprise Financial Inc.,...

Independent RIA managing $395 million of client assets joins LPL Financial

November 7, 2016

An independent registered investment adviser and broker-dealer managing $395 million of client assets has joined LPL Financial, due in part to the prospect of increased regulation. Puplava Financial Services Inc., operated by founder James “Jim”...

Stifel will retain commissions in retirement accounts under DOL rule

November 3, 2016

Put Stifel Financial Corp. in the column of brokerage firms that will continue to pay both commissions and fees to advisers who work with client retirement accounts. The past month has seen a steady roll call of major firms revealing their plans...

Advisers managing $200 million in client assets join Stifel

November 2, 2016

Advisers at an independent broker-dealer with $200 million in client assets has joined Stifel Financial Corp. Three financial advisers, Robert W. Anderson, Michael R. Anderson and Laurie Anderson, part of The Anderson Financial Group, will be...

Stifel advisers with $300 million in assets depart for RBC Wealth Management

September 30, 2016

A team of financial advisers at Stifel Financial Corp. overseeing $300 million in assets has joined RBC's wealth management unit. Darren Lehrman and Brian Marzulli are joining the firm's office in Parsippany, N.J., along with their investment...

Stifel to acquire Indiana underwriter, wealth manager

September 13, 2016

Stifel Financial Corp. has scored another wealth management and investment banking acquisition, announcing Tuesday it had agreed to buy City Financial Corp. Indianapolis, Ind.-based City Financial is the parent of City Securities Corp., an independent...

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