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Registered Rep.
March 1, 2006
Christopher O'Leary
It's Not Just About the Trade Because of a massive consolidation wave and a hyper-regulatory environment, financial advisors are interacting with their clearing firms in ways they never did before. mark for My Articles similar articles
Registered Rep.
March 1, 2007
Christopher O'Leary
Meet the New Davids Smaller clearing houses have an advantage in that they promise to keep out of any business that would directly challenge its client's own products and to stick to a core set of services that includes securities lending, custody/clearing and order-management systems. mark for My Articles similar articles
Registered Rep.
March 1, 2008
A Matter Of Trust What are the biggest hurdles that clearing and custody firms will face in the coming year?... Why did LPL go self-clearing, and will other b/ds follow?... mark for My Articles similar articles
Investment Advisor
January 2006
Melanie Waddell
A Notch Higher Broker/dealers expect their clearing firms to act like true strategic partners. mark for My Articles similar articles
Financial Advisor
July 2007
Tracey Longo
The Big Picture Clearing firms stake their future on helping financial advisors' businesses grow. mark for My Articles similar articles
Registered Rep.
March 1, 2008
Partners In Dime As competition for clients and talent in the financial advisory business intensifies, custody and clearing firms are doing everything they can to help b/ds and RIAs stay on top of their game and navigate the path to growth. mark for My Articles similar articles
Registered Rep.
January 1, 2005
I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors. mark for My Articles similar articles
Investment Advisor
January 2007
Kathleen M. McBride
Symbiotic Relationships When broker/dealers select a clearing firm to partner with, it pays to be choosy. Clearing firms innovate to help correspondents thrive. mark for My Articles similar articles
Financial Advisor
July 2004
Tracey Longo
Clearing Firms Come Courting With clearing industry players so clearly targeting advisors, competition for advisor business is likely to get even more interesting very soon. mark for My Articles similar articles
Registered Rep.
January 29, 2010
Jerry Gleeson
PNC May Shed Custody Unit Eager to raise cash and get out from under taxpayer loans, PNC Financial Services Group is looking to sell its custody and clearing division. mark for My Articles similar articles
Wall Street & Technology
September 11, 2007
Larry Tabb
The Boston Equity Exchange (BEX) Calls It Quits It was the first of the regional exchanges (dealer-capitalized or not) to throw in the towel. But what does this mean? Is the Boston Stock Exchange dead? Is it valueless? mark for My Articles similar articles
Financial Advisor
July 2005
Raymond Fazzi
Clearing The Field While the clearing firm market has become treacherous terrain for smaller players, who are vulnerable to being either swallowed up or pushed out by larger firms, some smaller firms have managed to implement successful growth strategies. mark for My Articles similar articles
Investment Advisor
August 2008
James J. Green
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady mark for My Articles similar articles
Investment Advisor
May 2008
Kathleen M. McBride
What Lurks Beneath There are many registered independent advisors and broker/dealers for whom the Bear Stearns debacle is much more than an academic exercise. mark for My Articles similar articles
Investment Advisor
January 2008
Kathleen M. McBride
Clearly Profitable It's an evolution revolution at the big clearing firms. mark for My Articles similar articles
Registered Rep.
March 1, 2008
Christina Mucciolo
What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm. mark for My Articles similar articles
Registered Rep.
September 1, 2004
Will Leitch
For Advisors, 2003 Was a Better Year The fortunes of advisors took a turn for the better in 2003, according to the annual report from the Securities Industry Association. mark for My Articles similar articles
The Motley Fool
July 21, 2006
Michael Leibert
Bank of New York Focuses on Profits Bank of New York's increasing focus on custody and securities processing resulted in strong second-quarter results. 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
Registered Rep.
March 5, 2012
Diana Britton
Your Broker/Dealer May Be Headed for Divorce As independent broker/dealers continue to consolidate and the search for profitability accelerates, some firms may be considering going self-clearing, analysts and industry executives say. mark for My Articles similar articles
Registered Rep.
September 27, 2004
David A. Gaffen
Wachovia Securities in Technological Purgatory The Prudential/Wachovia Securities systems integration continues to frustrate the firms' advisors, although the most serious problems have been cleared up. mark for My Articles similar articles
Registered Rep.
July 29, 2013
Diana Britton
No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs. mark for My Articles similar articles
Wall Street & Technology
November 17, 2003
Ivy Schmerken
Cleared for Takeoff Clearing firms are rolling out execution services with order-routing and direct-access partners. mark for My Articles similar articles
Registered Rep.
May 8, 2013
Diana Britton
Moving on Up: Go Independent and Make More $ Advisors who switched firms saw a jump in their compensation, especially among those who went independent. mark for My Articles similar articles
Financial Advisor
November 2008
Bruce W. Fraser
Clearings Fairly Smooth Despite recent market turmoil -- spurred by the collapse of several storied financial institutions and plummeting stock values -- clearing venues for trades from financial advisors have been functioning fairly smoothly. mark for My Articles similar articles
Registered Rep.
April 2, 2012
Diana Britton
Concert Breaks Into the Hybrid Market Via LPL Partnership RIA aggregator Concert Advisor Services has launched a new hybrid platform, Concert Advisors, and partnered with independent broker/dealer LPL Financial to provide brokerage and custody services. mark for My Articles similar articles
Investment Advisor
September 2006
Robert F. Keane
The Investment Center If keeping your representatives satisfied is the name of the game for broker/dealers, then it's no surprise that Ralph DeVito and The Investment Center are the winning team in Division II this year. mark for My Articles similar articles
Wall Street & Technology
May 21, 2009
Greg MacSweeney
Exclusive: Lightspeed Financial Integrates Trading Platform With Wedbush's Clearing Capabilities Lightspeed Financial has fully integrated its trading technology and risk management solutions with Wedbush Morgan Securities, a financial services firm and leader in high-frequency clearing services. mark for My Articles similar articles
Wall Street & Technology
November 29, 2004
Ivy Schmerken
Eurex and CCorp Forge Link Derivatives exchange and Clearing Corp. tout transatlantic clearing link as they await regulatory approval of phase two of the project. mark for My Articles similar articles
Investment Advisor
September 2009
James J. Green
What Representatives Wish For Representatives tell what products or services they wish their current broker/dealers offered, but don't. mark for My Articles similar articles
Registered Rep.
July 5, 2012
Diana Britton
Comings & Goings: July 2012 LPL Financial has named Dan Arnold as its new chief financial officer... The Investment Company Institute has tapped George Shevlin as its new political affairs officer... Chip Roame has been appointed a trustee of the SA Funds... mark for My Articles similar articles
Investment Advisor
February 2010
GroupThink News from the Investment Management Consultants Association and the SEC. 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
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
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
Financial Advisor
September 2005
Raymond Fazzi
A Question Of Trust Custodians square off in a newly competitive trust services market. mark for My Articles similar articles
Wall Street & Technology
August 22, 2006
Larry Tabb
Switching a Back-Office Relationship Is Very Hard For financial firms, while the front office is eminently more glamorous and lucrative, switching front-office providers is easy. Switching a clearing, custody or depository relationship, however, is very hard. mark for My Articles similar articles
Investment Advisor
September 2008
Eric Schwartz
B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future. mark for My Articles similar articles
Financial Planning
March 1, 2007
Elizabeth O'Brien
Clearly, Competition LPL's clearing deal with AXA Advisors prompts questions about recruitment among independent broker-dealers. mark for My Articles similar articles
CIO
April 1, 2001
Lee Pender
Trading Up After 75 years, a fixture of Chicago's markets wants to do more than settle corn bushels futures. Its leaders want to be the premier B2B marketplace backbone... mark for My Articles similar articles
Investment Advisor
September 2009
Robert F. Keane
B/D Briefing: Ramping Up Technology JP Morgan commits $100 million to broker platform mark for My Articles similar articles
On Wall Street
December 1, 2009
Mark Astarita
Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make? mark for My Articles similar articles
Registered Rep.
July 8, 2011
Jodie Papike
What To Do When You Smell a Storm Coming At Your B/d New technology and today's 24-hour media cycle have put advisors in a much better position to sniff out trouble at their broker/dealer. mark for My Articles similar articles
Wall Street & Technology
November 23, 2009
Ivy Schmerken
Derivatives Clearing Gives Congress Fits Congress is working on legislation for OTC derivatives reform, but there is still no agreement on mandatory clearing of standardized instruments or on how exotic instruments will be handled. 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
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
Financial Planning
August 1, 2011
Donna Mitchell
Ready to Commit Omaha, Neb.-based Securities America is one of Ameriprise's five broker-dealer subsidiaries. That Ameriprise, based in Minneapolis, announced its intention in March to sell the independent broker-dealer without a buyer lined up is also unusual. 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
Registered Rep.
June 16, 2011
Diana Britton
Securities America Jumps on the Social Media Bandwagon Independent broker/dealer Securities America announced its new social media program, which will allow all of its 1,800 reps to access and post content on Facebook, LinkedIn and Twitter. mark for My Articles similar articles
Financial Advisor
July 2006
Raymond Fazzi
They've Got Your Back To win financial advisors' business, custodians are offering to take over the back-office grunt work. mark for My Articles similar articles