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Stifel to Buy Missouri-Based Broker-Dealer

Stifel Financial Corp. (NYSE: SF) has agreed to buy certain assets of George K. Baum & Company, a broker-dealer that focuses on municipal securities....

SC Distributors Hires Senior Regional Vice President for Southeast Territory

SC Distributors LLC, a wholesale distributor of alternative investment offerings, has hired Andrew Eisen to oversee the sales and marketing efforts of SC Distributors...

LPL Financial Adds Former UBS Broker with $160 Million Of Client...

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Cary L. Hall Jr., founder and chief executive officer of CLH Wealth...

LPL Financial to Acquire Firm with $3 Billion in Client Assets

LPL Financial Holdings Inc. has agreed to acquire Allen & Company of Florida Inc., a broker-dealer and registered investment adviser with 30 advisors that...

SEC Charges Commonwealth with Failing to Disclose Conflicts on Revenue Sharing

The Securities and Exchange Commission has charged Commonwealth Financial Network, a registered investment adviser and broker-dealer that manages approximately $85 billion in client assets,...

Wells Fargo Names New President of Brokerage Unit

Wells Fargo Advisors, the brokerage unit of Wells Fargo & Company (NYSE: WFC), has named Jim Hays as its new president. Hays, based in St....

ExchangeRight Adds Internal Wholesaler Larry Baron to Sales Team

ExchangeRight, a sponsor of 1031 exchange and other alternative direct investment offerings, has hired Larry Baron as vice president over the Rocky Mountain/Western-Central region...

Pacific Oak Capital Funds Multifamily Development in Portland-Area Opportunity Zone

Pacific Oak Capital LLC, a sponsor of commercial real estate-focused alternative investments programs, has funded the $33 million development of Wood Village Apartments, a...

SC Distributors Hires Senior Regional Vice President for its Central U.S....

SC Distributors, a wholesale distributor of alternative investment offerings, has hired Steve Baker as senior regional vice president for its Central U.S. territory. Prior to...

ExchangeRight Adds Internal Wholesaler Scott Peterman to Sales Team

ExchangeRight, a sponsor of 1031 exchanges and other alternative direct investment offerings, has appointed Scott Peterman as vice president to cover the Great Lakes...