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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.  |
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.  |
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?...  |
Investment Advisor January 2006 Melanie Waddell |
A Notch Higher Broker/dealers expect their clearing firms to act like true strategic partners.  |
Financial Advisor July 2007 Tracey Longo |
The Big Picture Clearing firms stake their future on helping financial advisors' businesses grow.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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?  |
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.  |
Investment Advisor August 2008 James J. Green |
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady  |
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.  |
Investment Advisor January 2008 Kathleen M. McBride |
Clearly Profitable It's an evolution revolution at the big clearing firms.  |
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.  |
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.  |
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.  |
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...  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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...  |
Investment Advisor February 2010 |
GroupThink News from the Investment Management Consultants Association and the SEC.  |
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  |
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  |
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.  |
Financial Advisor September 2005 Raymond Fazzi |
A Question Of Trust Custodians square off in a newly competitive trust services market.  |
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.  |
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.  |
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.  |
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...  |
Investment Advisor September 2009 Robert F. Keane |
B/D Briefing: Ramping Up Technology JP Morgan commits $100 million to broker platform  |
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?  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |