The firm has been given until April 29 under its existing credit agreement with Nomura Holdings, it said in a filing.
The Lockhart, Texas-based advisor couple join the tax-focused wealth planning network with years of experience at a family-owned practice.
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.
The IBD adds veteran woman advisor with 23 years of industry experience from Charles Schwab.
While the firm is best known for its tax expertise, Todd Mackay is talking about relationships and creating connections.
Reshuffle is 'a result of the brain drain,' says one senior industry executive.
The latest recruit to join the firm’s independent advisor channel comes with a three-decade record, including 10 years at Merrill Lynch.
An arbitration panel rules in favor of former advisors who claimed the firm had delayed compensating them for their work, violating ERISA rules.
If the brokerage is eyeing an IPO in the next five years, as sources say, it’s got a lot of work to do to get ready.
A Minnesota-based foundation's lawsuit against the firm centers on an unnamed ex-broker's alleged churning of variable annuities.
The former rep refused to cooperate with an investigation alleging that he transferred funds from a client account without authorization
'Those offers from smaller firms don’t always get as high as those from the bigger players, but they are pretty darn close,' says a recruiter.
The Lafayette-based advisor, who founded his firm in 1984, manages $150 million.
The firm is expanding its footprint in California as it scoops up another three advisors from UBS.
The firm is expanding its footprint in North Carolina and Maryland with a multigenerational advisory practice from Valic.
'What’s missing in most cases of deals is that firms aren’t integrating the RIAs they are buying,' Mark Tibergien says.
The firm is tapping the veteran business-builder and reshuffling key members of its wealth unit as it looks to bolster its UHNW division.
The firm is vying to be a top player in a an industry that's projected to grow to $11 trillion by 2028.
The veteran advisor and his two sons are joining the IBD after managing $250M at Wells Fargo.
The size of award underscores Citi's desire to overhaul its struggling wealth division.
