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Investment Advisor
March 2006
Robert F. Keane
Safety First No one wants to pay for E&O insurance, but advisors admit it helps them sleep better. mark for My Articles similar articles
Investment Advisor
August 2010
Melanie Waddell
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas. mark for My Articles similar articles
Financial Planning
February 1, 2007
Elizabeth O'Brien
Cover Me Health insurance options slowly expand for independent advisors. mark for My Articles similar articles
Investment Advisor
January 2006
Kathleen M. McBride
Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients. mark for My Articles similar articles
Investment Advisor
June 2006
Kathleen M. McBride
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. mark for My Articles similar articles
Investment Advisor
December 2007
Angela Herbers
Bottom Up Broker/dealer recruiting is largely a zero sum game. Here is why it more advantageous for B/Ds to help their existing advisors. mark for My Articles similar articles
Investment Advisor
July 2010
James J. Green
LPL Financial's IPO: The Competitive Equation How the broker/dealer universe will change with LPL's plans mark for My Articles similar articles
Investment Advisor
November 2007
Kathleen M. McBride
Migration Time Is repapering accounts for 202(a) the last straw for wirehouse reps? mark for My Articles similar articles
Investment Advisor
May 2006
Murphy & Green
Breaking Away As the number of breakaway brokers continues to rise, broker/dealers and custodians have implemented programs designed to make the broker's transition to independence as seamless as possible. mark for My Articles similar articles
Investment Advisor
May 2006
Kathleen M. McBride
B/D Briefing: Pick Three In a recent reader survey, when asked where reps would go if they were to consider moving to another B/D, three firms were consistently mentioned: Commonwealth Financial Network, LPL Financial Services and Raymond James Financial Services. Here's why. mark for My Articles similar articles
Investment Advisor
March 2006
Melanie Waddell
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable. mark for My Articles similar articles
Investment Advisor
March 2008
James J. Green
Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever. mark for My Articles similar articles
Investment Advisor
January 2006
Melanie Waddell
The Playing Field: Banking on Wealth Management The oldest baby boomers hit 60 next year, so now is as good a time as any to assess whether you're truly providing the wealth management services that your existing clients, and prospective ones, need. Help from a broker/dealer, consultant, or a colleague is well within your reach. mark for My Articles similar articles
Investment Advisor
June 2009
James J. Green
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive mark for My Articles similar articles
Investment Advisor
September 2008
Bob Clark
Who's Your Daddy? Philip Palaveev's new gig as president of Fusion Advisor Network foreshadows the future of independent advice. mark for My Articles similar articles
Investment Advisor
March 2009
James J. Green
Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness. mark for My Articles similar articles
Financial Advisor
May 2006
Tracey Longo
What Have You Done For Me Lately? The race is on among independent broker-dealers to recruit more top fee-based advisors. mark for My Articles similar articles
Investment Advisor
October 2008
News & Products, October 2008 The SEC announces an enforcement action against LPL Financial Corp... ING Advisors Network announced a reorganization... Ameriprise Financial has signed an agreement to acquire H&R Block Financial Advisors... etc. mark for My Articles similar articles
Financial Advisor
January 2005
Tracey Longo
How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions. mark for My Articles similar articles
Investment Advisor
May 2009
James J. Green
Broker/Dealer Briefing: John Simmers of ING The CEO of ING Advisors Network, John Simmers, is retiring, but will retain his seat on FINRA's Board. mark for My Articles similar articles
Investment Advisor
September 2010
James Manouse
IA Soapbox: B/D Marketing Departments Are Wrong A marketing department must help to make the affiliated rep the dominant rep in their local area. mark for My Articles similar articles
Investment Advisor
March 2010
James J. Green
Lightyear Buys ING B/Ds Private equity firm Lightyear Capital LLC has completed its acquisition of the three independent broker/dealers that formerly constituted the ING Advisors Network. mark for My Articles similar articles
Investment Advisor
April 2010
James J. Green
Broker/Dealer Briefing: Cetera Ready to Grow Former Ing Broker/Dealers Are Committed to the new Cetera Financial Hybrid Model. mark for My Articles similar articles
Investment Advisor
September 2005
Fantastic 5 This year's winning broker/dealers of the year reveal some of the machinery behind the success: Division I -- Geneos Wealth Management... Division II -- Brecek & Young Advisors... etc. mark for My Articles similar articles
Investment Advisor
July 2009
Jonathan Henschen
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. mark for My Articles similar articles
Registered Rep.
March 14, 2013
Keeping Brokers Happy Cerulli research reveals the B/D products brokers really value, and those they don't. mark for My Articles similar articles
Registered Rep.
June 1, 2012
Diana Britton
Breaking Out: A New Era in Insurance Insurance firms constantly go through cycles of acquisition and sale when it comes to their broker/dealer subsidiaries. But the current sell cycle is different, and it may shake up how the business works. mark for My Articles similar articles
Investment Advisor
March 2009
Kara P. Stapleton
Succession & Valuation A Financial Services Institute OneVoice Broker/Dealer session dealt with internal succession, discussing the steps that advisors and independent broker/dealers need to take when developing a succession plan. mark for My Articles similar articles
Financial Advisor
June 2008
Tracey Longo
Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner. mark for My Articles similar articles
Registered Rep.
August 1, 2006
Kevin Burke
Stay Wachovia's not the first firm to offer multiple affiliation options to its reps -- Raymond James has offered something similar for several years -- but it is the first wirehouse-type brokerage house to do so. Ultimately, the model could serve as a blueprint for the retail advisory business. mark for My Articles similar articles
Investment Advisor
August 2006
Mark Tibergien
Formulas for Success: Get Help If you're buying or selling a financial advisory practice, call the pros. Experienced dealmakers know that the vast majority of the value in a transaction resides in the terms, not in the price. mark for My Articles similar articles
Registered Rep.
January 1, 2008
Independent Advisor Services, LPL Bill Dwyer President A conversation with Bill Dwyer, President of LPL Financial Services in San Diego, California, a financial services firm with $231.8 billion in client assets under management. mark for My Articles similar articles
Investment Advisor
July 2007
Jonathan Henschen
B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees... mark for My Articles similar articles
Investment Advisor
June 2007
Lauren Barack
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms. mark for My Articles similar articles
Investment Advisor
April 2007
James J. Green
Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers. mark for My Articles similar articles
Investment Advisor
June 2008
Philip Palaveev
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. mark for My Articles similar articles
Registered Rep.
September 30, 2009
David A. Geracioti
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled. mark for My Articles similar articles
Financial Advisor
June 2004
Gregory Bresiger
Advisors Are Living Dangerously Professionals continue to grapple with the question of errors and omissions insurance coverage. They believe that it is unnecessary. These uninsured advisors, one insurance executive says, run in the thousands. mark for My Articles similar articles
Investment Advisor
September 2007
James J. Green
Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment mark for My Articles similar articles
Registered Rep.
July 14, 2009
Halah Touryalai
Financial Advisor Switching Firms Jumps in June June was a busy month for financial advisors on the move. The number of advisors switching firms jumped 45 percent in June versus May, according to Discovery Database. mark for My Articles similar articles
Registered Rep.
July 1, 2006
Kristen French
Trading Up The Wealth Advisor Institute, a new trade group for advisors who cater to the wealthy, opened its doors in June. mark for My Articles similar articles
Investment Advisor
June 2008
Kara P. Stapleton
Power of the Platform LPL will build a custodial offering for its own -- and outside -- RIAs. mark for My Articles similar articles
Financial Planning
June 1, 2007
Donald Jay Korn
FP50: Pressure Points It's a great time to be in financial services. But broker-dealers' challenges are growing as fast as their opportunities. mark for My Articles similar articles
Registered Rep.
October 1, 2004
Will Leitch
The Rep's Ugly Friend As the industry continues its inexorable march toward "wealth management," advisors have had to add new tools to their workbenches. Among all of them, reps seem to have the most trouble getting comfortable with life insurance. mark for My Articles similar articles
Registered Rep.
June 2, 2015
Megan Leonhardt
Compensation Survey 2015: The Slowly Disappearing Commission Moving from a commission-based business to one based on fees, advocates argue, removes conflicts and puts advisors on the same side of the table as their clients. mark for My Articles similar articles
Investment Advisor
May 2008
Melanie Waddell
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. mark for My Articles similar articles
Financial Advisor
July 2012
Bernie Clark
The RIA Universe Advisors should look not just at their own internal business practices but also at the changes and trends occurring across the RIA field. mark for My Articles similar articles
Investment Advisor
September 2006
Contemporary Financial Solutions When it comes to an innovative business model, Contemporary Financial Solutions may have the most unique business plan: it welcomes lower producing representatives and treats them like VIPs. mark for My Articles similar articles
Registered Rep.
June 2, 2011
Diana Britton
America's Top Independent Brokerages The Merrills and Morgan Stanleys of the world say it was never an exodus, the migration is over, and it was only those advisors who couldn't make it in the cutthroat wirehouse world who crossed over to the independent side of the business. mark for My Articles similar articles
Investment Advisor
October 2008
James J. Green
When Big Is Better Larry Roth, CEO of the AIG Advisor Group, believes that in these troubled times, being big is quite an advantage. mark for My Articles similar articles