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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.  |
Registered Rep. January 1, 2008 |
Securities America Steve McWhorter CEO A conversation with Steve McWhorter, CEO of Securities America, a financial services firm in LaVista, Nebraska, with 1,750 registered representatives.  |
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.  |
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.  |
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.  |
Registered Rep. April 1, 2008 |
Wachovia Securities Financial Network A conversation with John Peluso, head of Wachovia Securities Financial Network, in St. Louis, Missouri.  |
Registered Rep. April 1, 2008 |
Woodbury Financial Services A conversation with Walter White, president of Woodbury Financial Services, in Woodbury, Minnesota.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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 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.  |
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?  |
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.  |
Registered Rep. May 2, 2011 Diana Britton |
Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial  |
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.  |
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.  |
Registered Rep. December 2, 2014 |
Best of the Best 2014 Unlike many of our competitors, we are as transparent as possible about our criteria and methodology when publishing a ranking.  |
Investment Advisor April 2007 James J. Green |
Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers.  |
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.  |
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.  |
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.  |
Registered Rep. January 25, 2010 Halah Touryalai |
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets.  |
Registered Rep. March 2, 2015 Megan Leonhardt |
Rep as Portfolio Manager Wirehouse and national firms are the most likely to offer advisor-directed platforms, followed by the bank and independent broker/dealer channels.  |
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.  |
Investment Advisor September 2006 Lauren Barack |
Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility.  |
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.  |
Registered Rep. February 8, 2011 Jerry Gleeson |
LPL's Casady Sees Better Advisor Growth In `11 Though the firm managed to rack up strong revenue and profit growth last quarter and in fiscal 2010, it did not meet the annual recruiting target of 400 net new advisors that Casady had set.  |
Registered Rep. June 1, 2015 Megan Leonhardt |
Compensation Survey 2015: Crunching the Numbers The industry has come a long way in embracing a fee-based business.  |
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  |
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?  |
Registered Rep. December 7, 2011 Philip Palaveev |
The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts.  |
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.  |
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.  |
Financial Advisor August 2012 Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.  |
Registered Rep. November 25, 2011 Diana Britton |
Q&A: Ron Carson Scraps Idea to Launch Broker/Dealer Days before Carson's b/d was to be approved, he pulled the plug and decided to keep his 5 percent of brokerage assets with LPL. Carson sat down with us to talk about the move.  |
Registered Rep. November 4, 2011 John Aidan Byrne |
Rep-as-Portfolio Manager Programs Taking Off Despite the compliance hurdles, more than one third of financial advisors see direct handling of clients' assets by FAs acting as their portfolio managers clearly outpacing other fee-based management styles in the next three years.  |
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.  |
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.  |
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.  |
Investment Advisor September 2008 Philip Palaveev |
B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong.  |
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.  |
Registered Rep. March 8, 2007 Halah Touryalai |
LPL's Got `Bank.' What's Next? An IPO? LPL's acquisition last week of three Pacific Life Insurance Company b/ds was just one more step in its quest for a successful sale of the company -- or an initial public offering.  |
Registered Rep. April 21, 2009 Christina Mucciolo |
Smaller Advisors On The Firing Line It used to be that financial advisors never got fired.  |
Financial Advisor August 2005 Tracey Longo |
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors.  |