Search for: "Sterne, Agee"
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17 Oct 2023, 10:23 am
(CRD#:39543), Coral Springs, FL, 02/14/2018 – 09/08/2022, LPL FINANCIAL LLC (CRD#:6413), CORAL SPRINGS, FL02/13/2017 – 02/14/2018, INVEST FINANCIAL CORPORATION (CRD#:12984), FT LAUDERDALE, FL08/18/2011 – 09/27/2016, MIDDLEBURY SECURITIES LLC (CRD#:122602), BOCA RATON, FL08/20/2010 – 08/10/2011, STERNE AGEE FINANCIAL SERVICES, INC. [read post]
13 Apr 2023, 1:32 pm
The firm was formerly known as Sterne Agee Financial Services. [read post]
16 Feb 2023, 6:02 am
In 2015, Stern Agee Financial Services was censured and fined $25,000 after one of Sterne Agee’s registered representatives mismarked approximately 966 order tickets as “unsolicited,” when that was not the case. [read post]
12 Jul 2022, 11:22 am
Filing a Claim against your Brokerage Firm According to his broker record, Hollifield was reportedly affiliated with the following FINRA registered firms, among others, during his career in the securities industry: 10/14/2016 – 09/10/2021, LPL FINANCIAL LLC (CRD#:6413), DACULA, GA 09/19/2008 – 11/11/2016, STERNE AGEE FINANCIAL SERVICES, INC. [read post]
4 Jan 2022, 10:06 am
Hollifield was previously registered with Sterne Agee Financial Services, Inc. [read post]
8 Oct 2021, 10:45 am
” According to his FINRA Broker Report, Hollifield was affiliated with the following firms, among others: 10/14/2016 – 09/10/2021, LPL FINANCIAL LLC (CRD#:6413), DACULA, GA09/19/2008 – 11/11/2016, STERNE AGEE FINANCIAL SERVICES, INC. [read post]
7 Apr 2021, 6:39 am
From 2009 through 2013, McCabe was registered with Sterne Agee Financial Services, Inc. [read post]
4 Apr 2021, 12:00 pm
From 2009 through 2015, Carrick was registered with Sterne, Agee, & Leach, Inc. [read post]
19 Feb 2021, 7:40 am
Stifel, Nicolaus & Company, Incorporated Sterne, Agee & Leach, Inc. [read post]
18 Jan 2021, 12:32 pm
Wesselt was reportedly registered with Sterne Agee from 2002 until 2014. [read post]
6 Nov 2020, 3:00 am
National/Federal A Government Watchdog Says White House Chief of Staff Mark Meadows Spent Campaign Funds on Personal Expenditures Business Insider – Yelena Dzhanova | Published: 10/31/2020 Citizens for Responsibility and Ethics in Washington (CREW) is calling for an investigation into White House Chief of Staff Mark Meadows after accusing him of misusing thousands of dollars in campaign funds. [read post]
5 Nov 2020, 3:00 am
Supreme Court Hands Narrow Win to Black Lives Matter Activist Over Protest Incident” by Lawrence Hurley for Reuters New York: “Judge Rules Sterne Agee Analyst Complicit in NY Pension Pay-to-Play Scheme” by Michael Katz for Chief Investment Officer The post Thursday’s LobbyComply News Roundup appeared first on LobbyComply. [read post]
2 Nov 2020, 4:37 am
He switched to Sterne Agee Financial Services located in Jeffersonville, PA in May 2002 and stayed there until March 2014. [read post]
2 Nov 2020, 4:37 am
He switched to Sterne Agee Financial Services located in Jeffersonville, PA in May 2002 and stayed there until March 2014. [read post]
17 Jun 2020, 2:05 pm
Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. [read post]
20 May 2020, 1:57 pm
Stifel, Nicolus & Company, Inc Sterne, Agee & Leach, Inc Kievman, Cary Ameriprise Financial Services, Inc Morgan Stanley Smith Barney Krupnick, Jeffrey Ameriprise Financial Services, Inc JHS Capital Advisors, LLC Lake, Jonathan Wells Fargo Clearing Services, LLC Morgan Stanley McCutchen, Jerry Sr. [read post]
25 Mar 2020, 5:18 am
Aside from five years with Kestra, Daughtry has previously been a registered stockbroker with Ameriprise Financial Services (AMP), Securities America, Stern Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities. [read post]
26 Nov 2019, 7:23 am
According to FINRA Disciplinary actions for November 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acree, Sandra Fidelity Services LLC Ader, Debra Baker, Andrew Suntrust Investment Services, Inc Wells Fargo Advisors, LLC Bermingham, Reed … [read post]
1 Jul 2019, 7:02 am
From May 2009 until March 2014 Bourgeois was registered with Sterne, Agee & Leach, Inc. [read post]
17 May 2019, 6:33 am
(CRD#:119037), Sterne Agee Financial Services, Inc. [read post]
