MagPortal.com   Clustify - document clustering
 Home  |  Newsletter  |  My Articles  |  My Account  |  Help 
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
Registered Rep.
April 1, 2008
First Allied Securities A conversation with Keith Gregg, president and co-CEO of First Allied Services in San Diego, California. mark for My Articles similar articles
Registered Rep.
April 1, 2008
Wachovia Securities Financial Network A conversation with John Peluso, head of Wachovia Securities Financial Network, in St. Louis, Missouri. mark for My Articles similar articles
Registered Rep.
April 1, 2008
Woodbury Financial Services A conversation with Walter White, president of Woodbury Financial Services, in Woodbury, Minnesota. mark for My Articles similar articles
Registered Rep.
January 1, 2008
Cadaret, Grant Arthur F. Grant, President and CEO A conversation with Arthur F. Grant, President of Cadaret, Grant, in Syracuse, New York, an advisory firm with $18.5 billion under management. mark for My Articles similar articles
Registered Rep.
January 1, 2008
Mutual Service Corporation J. Andrew Kalbaugh CEO A conversation with J. Andrew Kalbaugh, CEO of Mutual Service Corporation, a financial services firm in West Palm Beach, Florida, with $6.3 billion in clients assets under management. mark for My Articles similar articles
Registered Rep.
April 1, 2008
Raymond James Financial Services A conversation with Dick Averitt, chairman and CEO of Raymond James Financial Services in St. Petersburg, Florida. mark for My Articles similar articles
Registered Rep.
November 1, 2006
Susan Konig
A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules. mark for My Articles similar articles
Registered Rep.
April 1, 2008
David A. Geracioti
Joseph Duran A conversation with Joseph Duran, about his firm, United Capital, a national wealth-management firm that purchases regional registered investment advisor firms. 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
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
Registered Rep.
May 1, 2005
60 Seconds With David Monday Wachovia Securities' new Individual Investor Group leader talks about his plans for the new division. mark for My Articles similar articles
Registered Rep.
March 1, 2006
Kristen French
The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients. mark for My Articles similar articles
Registered Rep.
December 1, 2006
Anne Field
The Metamorphosis If you are ready to go out on your own as a registered investment advisor, you're likely to encounter a host of tricky problems and stumbling blocks. Here's a look at five of those problems and what you can do about them. 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
On Wall Street
September 1, 2011
Nick Georgis
Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds. 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
Registered Rep.
June 27, 2011
Diana Britton
The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home. 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
Registered Rep.
November 1, 2005
Christopher O'Leary
Going All the Way Across the country, registered rep employees of national broker/dealers daydream of chucking it all and going off on their own. But how far do you go? Which is the best model for keeping the most of what your business generates? mark for My Articles similar articles
Registered Rep.
February 18, 2009
Halah Touryalai
LPL's New RIA Offering Lookin' Healthy; But Still A Pipsqueak Compared To Rivals There are some folks in the industry actually doing relatively well these days. Seriously. LPL Financial said today its new-ish RIA platform now has over $1 billion in new assets. mark for My Articles similar articles
Registered Rep.
September 1, 2010
Halah Touryalai
Outgrowing the SERIES 7 There is a coveted cohort of dually registered advisors who are dropping their Series 7 licenses and leaving their b/ds behind. mark for My Articles similar articles
Investment Advisor
June 2008
Jonathan Henschen
Transfer Time For advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it's time for a reality check. mark for My Articles similar articles
Registered Rep.
November 5, 2012
Diana Britton
Defying the Odds It's orthodoxy that small IBDs won't be able to stay in business given the unprecedented increase in regulatory and technology costs. Yet some tiny firms are bucking the trend. Here's how they're doing it. mark for My Articles similar articles
Registered Rep.
March 1, 2008
How to Dance the Wall Street Shuffle There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition. mark for My Articles similar articles
Registered Rep.
January 6, 2010
Halah Touryalai
Wirehouse FAs Switching B/Ds Slows The number of wirehouse advisors switching broker/dealers has been in steep decline since June. mark for My Articles similar articles
Registered Rep.
February 16, 2010
Mindy Diamond
Recruiting Bonuses Are Still Strong TD Ameritrade, Schwab, Fidelity and Pershing are all reporting that their pipelines of interested advisors is more robust than ever in their collective histories. mark for My Articles similar articles
Registered Rep.
January 1, 2006
Halah Touryalai
The Winner's Curse Many advisors independent b/ds recruit have now unrealistic expectations: They want full technical and marketing support, as well as help understanding products and asset managers. mark for My Articles similar articles
Registered Rep.
February 1, 2006
Kristen French
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so. mark for My Articles similar articles
Registered Rep.
December 16, 2009
Halah Touryalai
Wirehouse Switching Slows in Second Half of 2009 In November, just 177 advisors in the wirehouse channel switched firms, the smallest monthly number all year, according to Discovery Database. mark for My Articles similar articles
Registered Rep.
January 1, 2007
David A. Geracioti
What Advisors Look Like Now Here are selected highlights from a reader survey selected from wirehouses, independent broker/dealers, RIAs, financial planners, bank brokers and insurance reps that offers a pulse from this demographic on business trends. mark for My Articles similar articles
Financial Advisor
June 2009
Jeff Schlegel
Money In Motion The economic crisis has wreaked havoc on wirehouses, and more advisors are looking for new opportunities. mark for My Articles similar articles
Registered Rep.
March 1, 2007
The Process How can an advisor be sure to find a new independent b/d that is the right fit? With so many firms to choose from, how can a rep begin to narrow down his search? mark for My Articles similar articles
Registered Rep.
November 1, 2007
Erik Kolb
Fighting The Brand X Syndrome How do independent advisors choose a broker/dealer firm to work for? Since most firms offer similar services, the decision usually comes down to "squishy" qualitative factors, like feel, culture and personal touch. mark for My Articles similar articles
Registered Rep.
November 1, 2007
Practice Makes Perfect Many independent broker/dealers are shifting their drive for growth inward, developing programs to help advisors build their businesses, as well as attracting new talent with incentives such as sign-on bonuses. mark for My Articles similar articles
Financial Advisor
November 2008
Gail Liberman
War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms. mark for My Articles similar articles
Registered Rep.
June 1, 2007
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts? mark for My Articles similar articles
Registered Rep.
February 1, 2005
Pam Black
Why More Reps Are Getting Their Kicks on Route 66 What's driving top reps to Series 66 RIA designation is not regulatory rules. It's changes in the wirehouse environment that, newly minted RIAs say, made it harder for them to do their own thing. mark for My Articles similar articles
Registered Rep.
July 7, 2010
David A. Geracioti
Compensation 2010. Crisis? What Crisis? 2009 income for RIAs -- while lower than 2008, in some cases by a lot -- rebounded fairly nicely, bringing earnings back to 2007 levels. mark for My Articles similar articles
Registered Rep.
March 1, 2008
John Churchill
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated. 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
Registered Rep.
June 30, 2010
Christina Mucciolo
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly. 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
Registered Rep.
April 29, 2009
Halah Touryalai
Wirehouse Advisors Switch Firms in March The number of reps switching broker/dealers during the month was up 34 percent versus the number who switched in February. mark for My Articles similar articles
Registered Rep.
March 1, 2007
Cold Call: Mark Hall The ideal client is (in three words)... The ideal financial advisor is... You've partnered with three local community banks to help grow your client base. What is toughest about this model?... etc. mark for My Articles similar articles
Financial Advisor
April 2009
David Lawrence
Migratory Patterns Advisors who want to move to the independent world should spend a lot of time planning the transition. mark for My Articles similar articles
Registered Rep.
March 4, 2009
David A. Geracioti
The Conflicts of Interest in Not Being a Fiduciary; Hang Charlie Merrill In Effigy? At least one commentator is calling for Charlie Merrill to be hung in effigy for creating the modern-day, hard-charging, sales-oriented brokerage called Merrill Lynch. mark for My Articles similar articles
Registered Rep.
March 1, 2008
Independent Together The "RIA-in-a-box" model will attract plenty of wirehouse reps who may have previously balked at the idea of going completely independent, fearing they were unprepared to run their own businesses. 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
Registered Rep.
May 10, 2011
Diana Britton
60 Seconds with Motley Fool's Bill Mann Bill Mann explains how Motley Fool markets to advisors and how they select stocks for their funds. mark for My Articles similar articles