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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
Financial Planning
June 1, 2007
Donald Jay Korn
FP50: Pressure Points It's a great time to be in financial services. But broker-dealers' challenges are growing as fast as their opportunities. mark for My Articles similar articles
Financial Planning
June 1, 2008
Philip Palaveev
Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship. mark for My Articles similar articles
Financial Advisor
August 2010
Raymond Fazzi
Looking To Streamline Now that they've experienced the harsh consequences of poor business management, fee-based advisors are looking to their custodians and broker-dealers for all the help they can get. mark for My Articles similar articles
Financial Advisor
June 2007
Sherri Scordo
Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc. mark for My Articles similar articles
Financial Planning
June 1, 2008
Elizabeth O'Brien
Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA. mark for My Articles similar articles
Financial Planning
March 1, 2010
Donna Mitchell
Open Season NFP Securities says it will become the first independent broker-dealer to offer hybrid advisors a single platform with complete open architecture, empowering advisors to ally with any major custodian they choose. mark for My Articles similar articles
Financial Planning
September 1, 2008
Callahan & Malo
Hybrid Chic A trend toward hybrids in the financial services industry is emerging. Increasingly, firms, advisors and brokers are establishing practices that manage both commission -- and fee-based businesses. 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.
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. mark for My Articles similar articles
Registered Rep.
March 8, 2011
Diana Britton
IBDs Dress Up Offerings For Hybrids Independent broker-dealers have lately been ramping up their efforts to attract hybrid advisors. mark for My Articles similar articles
Financial Advisor
May 2012
Satisfaction A job satisfaction study by J.D. Power found that financial advisors' happiness with their work is most dependent on their firm's performance. mark for My Articles similar articles
Financial Advisor
November 2010
David Lawrence
Back In The Fold? Will the new regulations force independents to return to broker-dealers? 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
Financial Planning
February 1, 2010
Marion Asnes
One Fee to Bind Them In 2009, broker-dealer Capital Analysts introduced a new flat-fee business model. So how's it going? mark for My Articles similar articles
Financial Advisor
October 2005
Chris Radford
Practice Management: What The Survey Doesn't Say Because there are no surefire business plans for success, it takes a unique combination for each financial advisor to find the "x-factor" -- that intangible number in every business opportunity that equals ultimate success. mark for My Articles similar articles
Financial Planning
December 1, 2012
Joel Bruckenstein
Financial Planning 2012 Tech Survey The readers of Financial Planning evaluate the software, hardware, mobile devices and advisory platforms that planners use most. mark for My Articles similar articles
Financial Advisor
July 2010
Bernie Clark
Gunning For Growth RIA firms estimate that they'll see 15% revenue growth this year. An emphasis on efficiency will free principals to go after new business again. mark for My Articles similar articles
Financial Planning
June 1, 2008
John J Bowen Jr
Help From My Friends Here are some of the most important issues to consider when working with a financial institution. mark for My Articles similar articles
Financial Planning
June 1, 2011
Donald Jay Korn
FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases. mark for My Articles similar articles
Financial Advisor
September 2009
Andrew Gluck
Trimming The Sails Schwab Institutional and Albridge up the ante and upgrade their platforms to boost advisor efficiency. mark for My Articles similar articles
Financial Advisor
March 2012
Bernie Clark
The Changing RIA Advisors need to start thinking bigger and go beyond their current capabilities. mark for My Articles similar articles
Financial Planning
November 1, 2007
Jay Vinson
The B-D Connection As an independent financial advisor, your broker-dealer can offer you tools and resources to help you grow your financial planning practice. mark for My Articles similar articles
Financial Planning
August 1, 2007
John J. Bowen
The Best in the Business Financial advisors can learn much from studying the business practices of their most successful peers. mark for My Articles similar articles
Financial Planning
August 1, 2010
Donna Mitchell
Who's Planning? A study by Boston-based AiteGroup found that only 18% of independent advisors make financial planning the center of their practice. mark for My Articles similar articles
Registered Rep.
March 6, 2014
Diana Britton
Independent Channels Continue to Steal from Wirehouses RIA and dually registered advisory channels will grow their share of the advised assets to 26 percent by 2016, according to a report by Cerulli Associates. That growth will largely come at the expense of the wirehouse channel. mark for My Articles similar articles
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. 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.
August 25, 2010
Halah Touryalai
Better Economic Times Ahead? Your Clients Don't Think So. Advisors seem more optimistic about the economy than their own clients, according to a recent survey. mark for My Articles similar articles
Financial Advisor
March 2006
Nancy Lininger
Letters to the Editor The New Advisory-World Order: Commissioned reps have lost clients over the years to discount brokers, day traders and now, the divine fee-only advisor. Firms embracing fees and commissions, and offering the most services and compensation options, will be reborn. mark for My Articles similar articles
Financial Planning
May 1, 2011
Donna Mitchell
Hybrid's New Groove Registered investment advisor firms looking for ways to expand their businesses might try turning to broker-dealers for a boost. mark for My Articles similar articles
Financial Planning
September 1, 2007
Elizabeth O'Brien
Advisor Pulse Advisor, advise thyself! A recent survey finds that most advisors did not understand the market value of their business or have a succession plan. mark for My Articles similar articles
Financial Advisor
June 2011
Andrew Gluck
The Accidental Broker-Dealer How independent B-D Ensemble Financial came undone and left its reps adrift. mark for My Articles similar articles
Registered Rep.
December 4, 2012
Jerry Gleeson
Taking Care of Business A survey this year by REP./Wealth Management.com shows how RIA attitudes differ from those among advisors in other channels. mark for My Articles similar articles
Investment Advisor
February 1, 2011
John Sullivan
Catching up with... Mark Mettelman For such a small firm, Norcross, Ga.-based Triad Advisors is surprisingly flexible. And it's paying off. President and CEO Mark Mettelman explains how they're doing it. mark for My Articles similar articles
Registered Rep.
September 16, 2011
Jerry Gleeson
RIA Interest in Financial Planning Grows, Industry Data Suggests Financial planning activities are playing a growing role in the service offerings of registered investment advisors. mark for My Articles similar articles
Financial Planning
September 1, 2010
Donna Mitchell
Social Value A joint study of 144 registered investment advisors by Pershing Advisor Solutions and Aite Group offers evidence that social media is more than an afterthought for advisors. Instead, it's a useful tool for reaching potential customers. 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
Financial Advisor
February 2, 2009
Sherri Scordo
Advisor Emporium Pershing assists advisors going independent... New advisors receive technology assistance... FPA offers best practices tools... Direxion enters ETF market... Foliodynamix joins communications gateway... Scottrade adds portfolio director... 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
Financial Planning
November 1, 2008
Stacy Schultz
Key to Happiness The key to an advisor's happiness is support, at least for the independent advisor. mark for My Articles similar articles
Financial Advisor
August 2012
Jon Beatty
A Promising Road Advisors are enjoying strong growth despite significant challenges in the financial markets. 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.
May 1, 2005
13 Percent Percentage of advisors who say they have switched to a wealth management model. mark for My Articles similar articles
Financial Advisor
June 2009
Joel P. Bruckenstein
Stepping It Up Broker-dealers are enhancing the technology they offer to advisors. mark for My Articles similar articles
Financial Planning
August 1, 2007
Ray Sclafani
Get Some Support An increasing number of B-Ds are recognizing the importance of coaching and training for advisors -- especially their top producers. mark for My Articles similar articles
Financial Planning
June 1, 2013
Ann Marsh
FP50: Big IBDs Hit a Speed Bump Is the boom over? After years of double-digit growth, independent broker-dealers hit a rough patch in 2012. We report from the front lines of the FP50. mark for My Articles similar articles
Financial Planning
June 1, 2008
Donald Jay Korn
All Systems Go Clients and income hold steady in the financial services industry. mark for My Articles similar articles
Financial Planning
October 1, 2009
Conrad & Mitchell
Indies' Gain Ground Registered investment advisor firms, independent broker-dealers and dually registered advisors are gaining market shares at the expense of wirehouses. mark for My Articles similar articles
Registered Rep.
October 30, 2015
The State of Independence: Intelligent Advisor The survey covers over 360 registered investment advisors. mark for My Articles similar articles