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.
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. 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.
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
Woodbury Financial Services A conversation with Walter White, president of Woodbury Financial Services, in Woodbury, Minnesota. 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
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
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.
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
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.
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.
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
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
August 2010
Thomas D. Giachetti
The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements. 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
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
Registered Rep.
December 1, 2006
Kristen French
60 Seconds with Deborah Doyle McWhinney A short interview about the rivalry between the registered investment advisor (RIA) firms that Schwab caters to and Wall Street wirehouses. mark for My Articles similar articles
Registered Rep.
November 1, 2006
Halah Touryalai
The Entrepreneur Equation Many a rep dreams of going independent, if only for a minute. But is it worth it, especially these days when most firms are offering record upfront signing bonuses? mark for My Articles similar articles
Registered Rep.
November 1, 2005
Christopher O'Leary
Creating an Escape Plan Independence has long been a dream of many wirehouse reps. But for the great majority of wirehouse pros, it remains simply that. Going independent is a proposition fraught with peril and is not to be taken lightly. mark for My Articles similar articles
Financial Advisor
January 2007
Tracey Longo
Allure Of Independence Remains Bright Independent broker-dealers step up their recruiting efforts among reps and the already liberated. 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
Investment Advisor
March 2006
Melanie Waddell
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. 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
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
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
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.
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.
November 26, 2012
Mindy Diamond
Advisors Sober Up For 2013 While the trend toward independence slowed a bit from previous years, 2012 was the year the independent channel legitimized its place next to the more traditional players. mark for My Articles similar articles
Registered Rep.
January 1, 2006
Corrections In the November issue of Registered Rep. a list of the 20 largest independent broker/dealers failed to include at least two b/ds that were larger than some on that list. 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
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.
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.
May 1, 2012
Jerry Gleeson
60 Seconds: Catherine A. Saunders Catherine A. Saunders was named about three years ago to lead a product sales drive to fee-based RIAs. 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.
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.
May 1, 2008
Timothy Halls A conversation with Timothy Halls, of the Moneta Group in Clayton, Missouri. 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
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.
November 1, 2006
Christopher O'Leary
Bust a Move...Cleanly Many registered reps have learned that the process of leaving a big firm can turn into a long, painful, litigious and even terrifying ordeal. From the moment you decide to leave a wirehouse, every move you make needs to be right. 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
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
Registered Rep.
May 2, 2007
Kevin Burke
It's Not About the Money The firms that have the highest number of satisfied financial advisors aren't necessarily the ones with the highest-paid financial advisors. Industry experts say that what really drives advisors to jump is friction with a supervisor. mark for My Articles similar articles
Registered Rep.
November 1, 2006
Halah Touryalai
The Indie Man An interview with John Simmers, CEO of ING Advisors Network, about his multiple duties, including issues facing his firm and others like it, as well as recent attacks on the NASD's credibility as a voice for small firms. mark for My Articles similar articles
Investment Advisor
November 2005
Kathleen M. McBride
Pitt Pulls No Punches At Cadaret Grant Conference Former SEC head offers practical advice to advisors. mark for My Articles similar articles
Registered Rep.
April 1, 2006
Kevin Burke
60 Seconds with...Bob Doll The president and CIO of MLIM, who will become vice chairman, CIO of global equities and chairman of the private client operating committee at BlackRock when the merger with Merrill Lynch goes through, discusses the anatomy of the deal. mark for My Articles similar articles
Registered Rep.
January 1, 2006
John Churchill
More, More, More Faced with growing competition from other advice providers and fewer inherent advantages in the way of products and platform capabilities, wirehouse brokers will feel pressure to do more fee-based business and to make wealthier clients a bigger part of their practice. mark for My Articles similar articles
Registered Rep.
June 1, 2006
Kristen French
60 Seconds with Tom Bradley In this interview, the president of the Institutional division of TD Ameritrade talks about his opinion of the new broker/dealer exemption. mark for My Articles similar articles
Registered Rep.
October 7, 2009
John Aidan Byrne
Exclusive: McCann Back To Work In October Robert J. McCann, former president of Merrill Lynch, settles a bitter lawsuit with Merrill parent company Bank of America over a non-compete agreement. The settlement frees McCann to return to work this month. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
October 1, 2005
Matt Barthel
Insurance and the Generation Gap Reps historically have been reluctant to sell life insurance because of the steep learning curve associated with the products, and there is evidence that many still are hesitant to put forth the effort necessary to grasp the products' nuances. mark for My Articles similar articles