
Articles
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1 week ago |
advisorhub.com | Mason Braswell
Stifel Financial has scooped up a team of veteran Oppenheimer & Co. brokers who managed $2.1 billion in Los Angeles. The Summa Group is led by Oppenheimer lifer Brian K. and his older brother, Jeffrey L. Werdesheim along with Robert W. Dalie, and Gary A. Chiate. They moved along with six support staff and are seeding a new Stifel office in Sherman Oaks, California. Brian started his career at Oppenheimer predecessor CIBC World Markets in 1993.
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3 weeks ago |
advisorhub.com | Karmen Alexander |Mason Braswell
UBS Wealth Management USA has been ordered to pay a Boise, Idaho-based broker $1 million based on allegations of wrongful termination and age discrimination, according to a split decision finalized on Tuesday. Two out of three Financial Industry Regulatory Authority arbitrators found that Randy S.
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3 weeks ago |
advisorhub.com | Mason Braswell
GC Wealth, the upstart RIA arm of venture capital firm General Catalyst, has hired a former top producer from First Republic Bank. Arif Ahmed left J.P. Morgan Advisors, whose parent acquired First Republic in 2023, on May 20, according to registration records.
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1 month ago |
advisorhub.com | Mason Braswell
LPL Financial is hoping to shed its image as a home for only low-level producers and close the gap by next year in areas where it lags its wirehouse rivals, Chief Executive Rich Steinmeier said on Wednesday.
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1 month ago |
advisorhub.com | Karmen Alexander |Mason Braswell
The head of advisor recruiting and retention at UBS Wealth Management USA resigned on April 9 and is expected to sign with an Indianapolis-based registered investment advisor, according to two sources familiar with the move. David J. Larado, who started his career as a trainee at UBS 18 years ago, plans to join Sapient Capital following a notice period required by his wirehouse employment agreements, the sources said.
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