Displaying 8 results
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.
