Broker-dealer

Jericho Energy Ventures Inc.: Who are the Most Incredible Energy Innovators?

Retrieved on: 
Thursday, July 27, 2023
Shell, Pressure, Blockchain, Communication, Advertising, Partnership, Use, Interview, Disclaimer, Marketing, Hydrogen, Bank statement, Risk, Aviation, NextEra Energy, Research, Broker-dealer, Carbon, Houston, BUY, Government, Wind, Thought, Web3, Steam, CVX, Investment, OTC, SEDAR, Hotbed, Shell plc, Verdigris, Growth, SHEL, Publishing, Chevron Corporation, NYSE, News, Primary energy, Dairy, Renewable energy, Cryptocurrency, Avelia

Jericho Energy Ventures Inc.: Who are the Most Incredible Energy Innovators?

Key Points: 
  • Jericho Energy Ventures Inc.: Who are the Most Incredible Energy Innovators?
  • Some key innovators in the broader energy space are Shell PLC ( NYSE: SHEL ), Chevron Corporation ( NYSE: CVX ), Nextera Energy Inc ( NYSE: NEE ) and Jericho Energy Ventures Inc ( TSXV: JEV ) ( OTC: JROOF ).
  • A business with a huge focus on hydrogen is Jericho Energy Ventures Inc ( TSXV: JEV ) ( OTC: JROOF ).
  • Furthermore, the business has invested in Web 3 energy start-up LO3, which aims to help consumers and businesses to find locally produced energy.

Otterbourg Adds Adele Hogan as Head of Securities Practice

Retrieved on: 
Tuesday, July 25, 2023
Professional Services, Business, Security, Technology, Legal, Fintech, Consulting, LLP, Linklaters, Cravath, Health, White & Case, Cornell Law School, Cravath, Swaine & Moore, Federal, Broker-dealer, Deutsche Bank, New York City Bar Association, Machine learning, Risk, Mining, Artificial intelligence, AI, White, Cornell University, Knowledge management, Security (finance)

is pleased to announce the arrival of Adele Hogan as a member of the firm’s Corporate Department and head of the firm’s Securities Practice Group.

Key Points: 
  • is pleased to announce the arrival of Adele Hogan as a member of the firm’s Corporate Department and head of the firm’s Securities Practice Group.
  • Ms. Hogan focuses her practice on mergers, securities offerings, restructuring, bankruptcies, and projects for early stage and large companies in industries including financial institutions, technology/media/telecomm, healthcare, leisure, energy and mining, and FinTech.
  • She will lead a securities practice at Otterbourg that has been involved in substantially all aspects of public and private securities work, including mergers and acquisitions, representing issuers, buyers, sellers, sponsors, investment bankers and underwriters.
  • The securities work also includes broker-dealer and investment adviser registration, as well as the financing of broker-dealers.

Stifel Financial Schedules Second Quarter 2023 Financial Results Conference Call

Retrieved on: 
Friday, July 21, 2023
Eaton Partners, SF, Broker-dealer, Miller Buckfire & Co., NYSE, Stifel, Incorporated

ST. LOUIS, July 21, 2023 (GLOBE NEWSWIRE) -- Stifel Financial Corp. (NYSE: SF) will release its second quarter 2023 financial results before the market opens on Wednesday, July 26, 2023.

Key Points: 
  • ST. LOUIS, July 21, 2023 (GLOBE NEWSWIRE) -- Stifel Financial Corp. (NYSE: SF) will release its second quarter 2023 financial results before the market opens on Wednesday, July 26, 2023.
  • The company will host a conference call to review the results at 9:30 a.m. Eastern time that same day.
  • All interested parties are invited to listen to Stifel Chairman and CEO Ronald J. Kruszewski by dialing (866) 409-1555 and referencing participant ID 4717221.
  • Stifel Financial Corp. (NYSE: SF) is a financial services holding company headquartered in St. Louis, Missouri, that conducts its banking, securities, and financial services business through several wholly owned subsidiaries.

Matrix Executions Wins Second Industry Award in 6 Months for its Cutting-Edge Suite of Trading Technology

Retrieved on: 
Tuesday, July 18, 2023
Hardware, Electronic Design Automation, Other Professional Services, Data Management, Technology, Finance, Consulting, Small Business, Fintech, Banking, Accounting, Professional Services, Other Technology, Networks, Internet, Workflow, Broker-dealer, FLEX, Capital punishment, Algorithm, System, Shoe, Financial adviser, Matrix

Matrix Executions, an agency-only broker dealer headquartered in Chicago, celebrates winning its second award in the financial services space in six months after being named a “Top 10 Trading Solutions Provider” by Financial Services Magazine on July 17, 2023.

Key Points: 
  • Matrix Executions, an agency-only broker dealer headquartered in Chicago, celebrates winning its second award in the financial services space in six months after being named a “Top 10 Trading Solutions Provider” by Financial Services Magazine on July 17, 2023.
  • CEO Jordan Naylor commented, “It’s been an incredible year for our team and company.
  • Matrix Executions continues its work on creating exceptional and innovative trading technology with no signs of slowing down.
  • Given the volatile and challenging market conditions faced today’s trading community, Matrix’s suite of liquidity-seeking algorithms has been particularly in demand and is a priority focus for continuous enhancements for the Matrix Executions team.

ARCTRUST Names Jason Kling Regional Vice President of Equity Capital Markets, East

Retrieved on: 
Wednesday, July 12, 2023
Housing, University, Private, RIA, Trauma surgery, Opportunity zone, Broker-dealer, Equity capital markets, Acquisition, DST, FINRA, Knowledge, Region, Financial services

NEW YORK, July 12, 2023 /PRNewswire/ -- ARCTRUST Inc , a 38-year-old, fully integrated real estate company specializing in development, acquisition and joint-venture funding, through its diverse real estate programs, announced today that Jason Kling has joined the company as Regional Vice President of Equity Capital Markets, East.

Key Points: 
  • NEW YORK, July 12, 2023 /PRNewswire/ -- ARCTRUST Inc , a 38-year-old, fully integrated real estate company specializing in development, acquisition and joint-venture funding, through its diverse real estate programs, announced today that Jason Kling has joined the company as Regional Vice President of Equity Capital Markets, East.
  • In his new role, Mr. Kling will be responsible for raising new equity investment capital within the Broker-Dealer, RIA and family office marketplace for ARCTRUST's Private REITs, DSTs, Opportunity Zones and other programs.
  • "We are very fortunate to have the opportunity to add an established professional like Jason to the ARCTRUST team," said Chris Wadelin, CEO, ARCTRUST Private Capital.
  • In his prior role, Mr. Kling was the senior regional vice president for Versity Investments, a Delaware statutory trust (DST) sponsor specializing in student housing and multifamily investments.

FINANCIAL ADVISOR BART DELUCA JOINS LPL FINANCIAL TO OPEN MARYLAND OFFICE WITH INTRUA FINANCIAL

Retrieved on: 
Tuesday, July 11, 2023
RIA, Checklist, DeLuca, Business development, Retirement, LPL, Broker-dealer, Financial adviser, Management

CHARLOTTE, N.C., July 11, 2023 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisor Bart DeLuca CFP®, CIMA® has joined LPL Financial’s broker-dealer and custodial platforms, aligned with existing RIA firm Intrua Financial .

Key Points: 
  • CHARLOTTE, N.C., July 11, 2023 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisor Bart DeLuca CFP®, CIMA® has joined LPL Financial’s broker-dealer and custodial platforms, aligned with existing RIA firm Intrua Financial .
  • He reported having served approximately $165 million in advisory, brokerage and retirement plan assets*, and joins LPL from Raymond James Financial Services.
  • With the move, DeLuca will expand Intrua Financial’s reach in Maryland by opening its first location in the Baltimore suburb of Fulton.
  • “After multiple visits with various members of the Intrua team, including Intrua CEO Andrew Keller, I decided Intrua and LPL was the best fit for my practice.

Global Atlantic Announces Electronic Application Requirement for Fixed Rate Annuities

Retrieved on: 
Tuesday, July 11, 2023
Professional Services, Apps, Applications, Technology, Insurance, Software, Finance, Banking, Broker-dealer, Retirement, IMO number, Atlantic Ocean, FAQ, Financial adviser

Global Atlantic Financial Group (“Global Atlantic”), a leading insurance company meeting the retirement and life insurance needs of individuals and institutions, recently announced its transition to the exclusive use of electronic applications for all multi-year guaranteed fixed-rate annuity sales.

Key Points: 
  • Global Atlantic Financial Group (“Global Atlantic”), a leading insurance company meeting the retirement and life insurance needs of individuals and institutions, recently announced its transition to the exclusive use of electronic applications for all multi-year guaranteed fixed-rate annuity sales.
  • In an effort to continue driving the digital transformation of both Global Atlantic and the industry as a whole, eApplications are now required for all durations of the company’s SecureFore fixed-rate annuity series.
  • This change will be instrumental in streamlining the user experience for Global Atlantic’s clients, financial professionals and distribution partners through a faster, simpler and more convenient process from application to contract issuance.
  • “The move to eApplications is a tremendous step forward, not only for Global Atlantic, but also for the industry at large,” said Paula Nelson, Head of Strategic Growth, Individual Markets at Global Atlantic.

VERSES Announces Closing of Overnight Marketed & Private Placement Offering for Gross Proceeds of $23.5M

Retrieved on: 
Thursday, July 6, 2023
Broker-dealer, NEO Exchange, SEC Rule 144A, Trees for Life (United States), NEWS, News, Broker, Unit, Prospectus, National instrument, Offering, Crowdfunding exemption movement, Penalty unit, Exemption, Warrant, NEO, Acceleration, PI, Private, Exchange, Date, Security (finance), Financial adviser, Canaccord Genuity

VANCOUVER, British Columbia, July 06, 2023 (GLOBE NEWSWIRE) -- VERSES AI Inc. (“VERSES” or the “Company”) (NEO: VERS) (OTCQX:VRSSF) (“VERSES” or the “Company”), is pleased to announce that it has closed the previously announced underwritten overnight marketed offering of units (the “LIFE Units”) of the Company, for gross proceeds of $9,897,498.40 (the “LIFE Offering”), and the agency basis private placement of special warrants (the “Special Warrants”) of the Company, each exercisable for one unit of the Company (each, an “Equity Unit”, and together with the LIFE Units, the “Units”) at no additional cost, for gross proceeds of $8,037,617.45 (the “Brokered Private Placement”, and together with the LIFE Offering, the “Brokered Offering”). The Brokered Offering was conducted pursuant to an underwriting and agency agreement among the Company, Canaccord Genuity Corp. (“Canaccord”), acting as sole bookrunner, and ATB Capital Markets Inc. (“ATB”, and together with Canaccord, the “Broker Dealers”), as co-lead underwriters and co-lead agents, on behalf of a syndicate consisting of Cormark Securities Inc., Haywood Securities Inc. and PI Financial Corp. (collectively, the "Underwriters" or the "Agents", as applicable). Concurrently, the Company closed a non-brokered private placement (the “Non-Brokered Private Placement”, and together with the Brokered Offering, the “Offering”).

Key Points: 
  • Concurrently, the Company closed a non-brokered private placement (the “Non-Brokered Private Placement”, and together with the Brokered Offering, the “Offering”).
  • Pursuant to the Offering, a total of 4,878,048 LIFE Units were sold at a price per LIFE Unit of $2.05 (the “Offering Price”) and 6,612,849 Special Warrants were sold at the Offering Price for aggregate gross proceeds of $23,556,338.85.
  • Each Unit consists of one Class A Subordinate Voting share of the Company (a “Share”) and one-half of one Share purchase warrant (each whole warrant, a “Warrant”).
  • The LIFE Offering has been conducted under the Exemption and each of the Brokered Private Placement and the Non-Brokered Private Placement have been conducted pursuant to available exemptions from prospectus requirements in NI 45-106, other than the Exemption.

Stifel Ranks No. 1 in J.D. Power Study

Retrieved on: 
Thursday, July 6, 2023
J.D. Power, Eaton Partners, SF, Marketing, Culture, Broker-dealer, Miller Buckfire & Co., Book, United Kingdom, Environment, NYSE, Financial adviser, Stifel, Incorporated

ST. LOUIS, July 06, 2023 (GLOBE NEWSWIRE) -- Stifel Financial Corp. (NYSE: SF) today announced that its Stifel, Nicolaus & Company, Incorporated broker-dealer subsidiary ranked No.

Key Points: 
  • ST. LOUIS, July 06, 2023 (GLOBE NEWSWIRE) -- Stifel Financial Corp. (NYSE: SF) today announced that its Stifel, Nicolaus & Company, Incorporated broker-dealer subsidiary ranked No.
  • Stifel’s overall score, calculated from responses submitted by Stifel financial advisors, was 777 out of 1,000 – more than 32% higher than the industry average of 588.
  • 1 investment firm for employee advisor satisfaction,” said Ron Kruszewski, Chairman and CEO of Stifel.
  • Stifel Bank and Stifel Bank & Trust offer a full range of consumer and commercial lending solutions.

Time-Starved U.S. Financial Advisors Considering Alternative Options, J.D. Power Finds

Retrieved on: 
Wednesday, July 5, 2023
Finance, Consulting, Banking, Accounting, Professional Services, J.D. Power, Male, Female, Marketing, Culture, Ageing, Intelligence, Multimedia, Broker-dealer, NPS, Retirement, SM, Commonwealth, Financial adviser, Stifel, Ameriprise Financial

With markets struggling, compliance and administrative responsibilities growing and the advisor population aging, many advisors are planning their own exit strategies.

Key Points: 
  • With markets struggling, compliance and administrative responsibilities growing and the advisor population aging, many advisors are planning their own exit strategies.
  • Power 2023 U.S. Financial Advisor Satisfaction Study,SM released today, nearly one-third (28%) of financial advisors say they do not have enough time to spend with clients and 20% say they are five years or less away from retirement.
  • Female advisors lean in: Among employee advisors, overall satisfaction and NPS scores are significantly higher among female advisors than among their male counterparts.
  • The study is based on responses from 4,183 employee and independent financial advisors and was fielded from December 2022 through April 2023.