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Stifel

4/9/21 | Press Release | Stifel

Andrea Bocelli Announces 2021 US Tour Dates Presented by Stifel

Alex David, a veteran Wells Fargo Financial Network executive, is joining Stifel to spearhead its independent brokerage push.
Stifel, Wells Fargo

Stifel Hires Wells FiNet Exec to Push into Independent Brokerage

3/16/21 | News | 8 Comments

Stifel Financial has hired Wells Fargo Advisors Financial Network executive Alex David to help it expand a newly rebranded independent contractor channel.

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Financial Advisor
Morgan Stanley, Raymond James, Stifel

Fired by Wirehouse for Unapproved Outside Business, Texas Broker Relocates to Stifel

3/4/21 | Advisor Moves, News

Robert Mitchell, a million-dollar-plus producer at Morgan Stanley, follows the lead of others fired for compliance missteps by joining a regional firm.

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Advisor Moves, financial regulation, Morgan Stanley, outside business activity, Raymond James, Stifel, Texas
Russell May, Debra Gomez, Stephen DeBeer, Stevi Calhoun, Robert DeBeer, Lindsay Burke and Blake Hanna.
Stifel

Stifel Nabs Merrill Team Managing $1.35 Billion in Dallas

2/2/21 | Advisor Moves, News | 15 Comments

Group of four brokers had been generating $4.6 million in fees and commissions, according to the team leader.

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Advisor Moves, Dallas, Merrill Lynch, Recruiting, Stifel, Texas
Stifel Chief Executive Ronald Kruszewski
Stifel

Stifel CEO: Broker Recruiting to ‘Accelerate’ in 2021

1/29/21 | Advisor Moves, News | 5 Comments

The firm added 131 advisors last year, down from the 150 who joined in 2019, but CEO Ron Kruszewski forecasted a pick-up in hiring even as a rival warned of increased competition.

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Advisor Moves, Earnings, Raymond James, Recruiting, Ron Kruszewski, Stifel
Stifel Investment Company
Jefferies, Stifel

Stifel Hires 33-Year Brokerage Vet from Jefferies in Dallas

1/8/21 | Advisor Moves, News

Broker had been managing over $200 million in client assets, according to two sources familiar with his practice.

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Dallas, Recruiting, Texas
FINRA
FINRA, Stifel

Finra Hits Another Veteran Broker Over UIT Sales

11/23/20 | News | 7 Comments

Regulator’s crackdown on unsuitable short-term trading of UITs hits former Stifel broker, now with Wells Fargo, who agreed to a $10,000 fine and three-month suspension.

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Stifel Chief Executive Ronald Kruszewski
Stifel

Stifel CEO Tweaks the Competition

10/28/20 | News | 2 Comments

Stifel Chairman and Chief Executive Ron Kruszewski said he welcomes recruiting competition from banks because his firm’s advantage lies in not pushing brokers to cross-sell bank products.

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Advisor Moves
Stifel, Wells Fargo

Wells Brokers with $405 Million Leave for Stifel, Cite Small Account Policies

10/16/20 | Advisor Moves, News | 3 Comments

Wells’ payout penalties on lower-net worth accounts didn’t mesh with West Virginia brokers’ small-town client base.

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Eden Lopez, Leslie Schwartz and Paula Steinberg (left to right) joined RBC in New York on Friday from J.P. Morgan Securities.
JP Morgan, RBC, Stifel, Wells Fargo

J.P. Morgan Hires $315 Mln Morgan Stanley Trio in Philly, Loses $1.2 Bln Team in NYC

10/16/20 | Advisor Moves, News | 3 Comments

J.P. Morgan Securities emigrees to RBC have 89 years of experience and a big book of music and entertainment clients, while its new arrivals had been with Morgan Stanley and predecessors for 87 years.

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Mary and John Macukas, who managed $181 million in assets, are opening a new office for Stifel in Santa Fe.
Stifel, UBS

Stifel Lands $1.75-Million Husband-and-Wife UBS Team in New Mexico

9/16/20 | Advisor Moves, News | 4 Comments

Separately, UBS hired a novice broker to supplement a big Boston team and nabbed a bank-based broker in Ohio.

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Anthony “Tony” Frigoletto took his Wells practice independent on Tuesday with LPL.
Gladstone, LPL, Stifel, Wells Fargo

$3.7-Million Wells Fargo Bank Team Joins LPL’s ‘Wirehouse’ Channel

9/10/20 | Advisor Moves, News | 1 Comment

Two brokers who managed $500 million in client assets are the third group to join LPL’s five-month-old “Strategic Wealth Services” affiliation model.

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CORONACRASH NEWS

  • Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Mar 19, 2021
  • Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Mar 18, 2021
  • Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Mar 12, 2021
  • Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Feb 26, 2021
  • Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Feb 25, 2021

NEWS

  • This Week’s Top 5: Merrill Targets Seasoned Brokers in Key Markets, J.P. Morgan Advisors Replaces CEO, and More

    This Week’s Top 5: Merrill Targets Seasoned Brokers in Key Markets, J.P. Morgan Advisors Replaces CEO, and More

    Apr 17, 2021
  • Focus Financial Cuts Exec Comp, CEO Pay Falls 16.6%

    Focus Financial Cuts Exec Comp, CEO Pay Falls 16.6%

    Apr 16, 2021
  • Morgan Stanley Net New Assets Hit Record $105 Billion in First Quarter

    Morgan Stanley Net New Assets Hit Record $105 Billion in First Quarter

    Apr 16, 2021
  • Rockefeller Lures $2.2-Million Merrill Team in Michigan

    Rockefeller Lures $2.2-Million Merrill Team in Michigan

    Apr 16, 2021
  • Morgan Stanley Burned by $911 Million Hit on Archegos Blowup

    Morgan Stanley Burned by $911 Million Hit on Archegos Blowup

    Apr 16, 2021

Recruiting Winners: 2020 Year in Review

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Incisive conversations focused on helping investors navigate the ever-changing global market landscape
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The “new advice value stack,” and how firms can use it to help maximize their own value propositions for their clients.
Interviews and insights for advisors curious about switching to a new broker dealer.
The Brighthouse Financial Insights Panel is a group of leading, independent experts providing powerful insights into the big challenges facing you and your clients.
Powering Independence Podcast, insights and ideas for RIAs, presented by Dynasty Financial Partners. A podcast dedicated to presenting fresh ideas and best practices for the wealth management industry.
As an industry expert, Frank LaRosa provides guidance and advice on a host of topics from recruiting and transitions, succession planning, practice management, M&A and more.
Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
Go behind the scenes with registered investment advisors and other related independent business model experts
As a nationally recognized recruiter and consultant to financial advisors, Mindy Diamond has unmatched experience in introducing advisors to the independent space.
The must listen-to podcast for investors, venture capitalists and financial advisors, with Tony Sirianni and Paul Dietrich.
An Introduction to Independence: 5 Key Episodes to Jumpstart Your Knowledgebase
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We interview top financial advisors and visionary voices to bring you the strategies, tips, and tools you need to make a difference in people’s lives.
A financial literacy and commentary show that features a number of investors, financial experts, professional athletes, business owners and more.
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Timeless wisdom, actionable information you can use right now to make smarter investment decisions.
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Our webcast is dedicated to helping our viewers get real insights by avoiding the cognitive dissonance of today’s media outlets and biased editorial filters.

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