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Financial Planning
October 1, 2008
Marion Asnes
AIG Speaks Out An exclusive interview with the team at the top of AIG Advisor Group. mark for My Articles similar articles
Investment Advisor
August 2010
Melanie Waddell
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas. mark for My Articles similar articles
Registered Rep.
June 7, 2011
Diana Britton
Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
June 2007
Sherri Scordo
Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc. mark for My Articles similar articles
Registered Rep.
August 23, 2009
Halah Touryalai
AIG Advisor Group NOT For Sale, New CEO Says After almost a year of looking for the right buyer, AIG's broker/dealer reps were told that they would not be sold. 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
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
Financial Advisor
January 2011
Bruce W. Fraser
Crafting A Comeback With new leadership at its parent AIG, Advisor Group's trio of broker-dealers venture forth on the road to recovery. 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
Financial Advisor
January 2006
Tracey Longo
Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee. mark for My Articles similar articles
Investment Advisor
September 2008
Melanie Waddell
Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers. mark for My Articles similar articles
Financial Planning
October 1, 2009
Paul Menchaca
AIG Advisor Group: They're Back Larry Roth maintains that a large, diversified insurance-based financial services company remains a great environment in which to grow a broker-dealer. mark for My Articles similar articles
Registered Rep.
February 7, 2012
Kristen French
More Advisors Wearing Investment Management Hat Financial advisors at broker/dealers are increasingly taking the reins on their clients' fee-based accounts, according to a report out from Cerulli Associates today. 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
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
Financial Planning
November 1, 2010
Paul Menchaca
Turning the Page The extent to which the AIG brand is tainted remains unknown. Is it permanently damaged, or will Americans eventually forgive, if not forget? Are advisors still wary of the AIG affiliation? mark for My Articles similar articles
Registered Rep.
June 1, 2012
Diana Britton
Breaking Out: A New Era in Insurance Insurance firms constantly go through cycles of acquisition and sale when it comes to their broker/dealer subsidiaries. But the current sell cycle is different, and it may shake up how the business works. 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
Investment Advisor
October 2007
Kara P. Stapleton
News & Products, October 2007 FINRA fines AXA Advisors for "failing to adequately supervise its fee-based brokerage business"... AIG announces organizational changes... Commonwealth Financial Network provides advisors with Estate Planning Blueprint... etc. mark for My Articles similar articles
Investment Advisor
September 2007
Kathleen M. McBride
A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates? mark for My Articles similar articles
Investment Advisor
March 2008
James J. Green
Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever. mark for My Articles similar articles
Investment Advisor
May 2008
Melanie Waddell
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. 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
Investment Advisor
October 2008
James J. Green
Is Consolidation Finally Here? Several recent deals for mid-sized independent broker/dealers raises the question. mark for My Articles similar articles
On Wall Street
October 1, 2008
Larry Silver
Keeping It Simple Perhaps the best investment strategy for these volatile times, shared by the most successful advisors, was quite simple: Remain fully invested in a basically conservative, diversified portfolio.. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
December 4, 2012
Megan Leonhardt
(No) Experience Necessary When it comes to being a financial advisor, the more experience -- the more years you have on you -- the better, right? Not quite. A new study shows that firms should be cautious when bringing aboard advisors heavy on experience. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
September 2010
John Sullivan
Broker/Dealer Briefing: News and Products News from Securities America, HighTower, AIG and more. mark for My Articles similar articles
Investment Advisor
September 2008
Philip Palaveev
The Case for Commissions Commission product uses fall into six primary categories. Read on to see what they are. mark for My Articles similar articles
Registered Rep. The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014. mark for My Articles similar articles
Registered Rep.
July 29, 2009
Halah Touryalai
AIG Advisor Group Sale Is Close The AIG Advisor Group may finally have found a buyer after nine months of operating in limbo. mark for My Articles similar articles
Registered Rep.
October 1, 2005
Mindy Diamond
What Size Pond? It is important for advisors to find a firm that is a good fit for their particular goals. In many cases, small firms work well. For advisors looking to expand their books aggressively, larger firms are often -- but not always -- a good option. mark for My Articles similar articles
Financial Planning
June 1, 2008
Stacy Shultz
Lookin' Good, Broker Dealers As baby boomers approach retirement, some believe there could be no better time to be in the financial services industry. mark for My Articles similar articles
Investment Advisor
October 2008
News & Products, October 2008 The SEC announces an enforcement action against LPL Financial Corp... ING Advisors Network announced a reorganization... Ameriprise Financial has signed an agreement to acquire H&R Block Financial Advisors... etc. mark for My Articles similar articles
Investment Advisor
September 2009
Melanie Waddell
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
January 2005
Tracey Longo
How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions. mark for My Articles similar articles
Investment Advisor
January 2006
Robert F. Keane
Far From Fossilized Advisors Capital Management looks to provide clients with true individual portfolios of diversified securities at a much lower cost than is possible with mutual funds. 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
Registered Rep.
March 6, 2012
Diana Britton
Advisor Group Looking to Buy Mid-Sized B/Ds, Large OSJs AIG Advisor Group is in talks with a few mid-sized broker/dealers and larger offices of supervisory jurisdiction, and hopes to make one or more acquisitions in the near future. mark for My Articles similar articles
Investment Advisor
June 2009
Robert F. Keane
Directional Advisor Bob Whalen moved to Brewer Financial Services because of the depth of product and open architecture. He expects a lot of other reps to follow suit. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
August 2008
Changes Mark Schlafly named president and CEO of FSC Securities and Advantage Capital Corp... Jeff Auld named president and CEO of AIG Financial Advisors... Ted Mathas is now the CEO of New York Life Insurance Company... Three new SEC commissioner nominees... mark for My Articles similar articles
Registered Rep.
April 27, 2011
Diana Britton
Poll: Do Recruiters Promise Too Much? A former Raymond James advisor recently filed suit against the broker/dealer claiming an internal recruiter misrepresented the support, technology and compensation the firm could deliver. mark for My Articles similar articles
Registered Rep.
March 31, 2015
Diana Britton
How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues. mark for My Articles similar articles
Registered Rep.
August 26, 2014
Diana Britton
The Evolution of RCAP Nicholas Schorsch, executive chairman of RCS Capital, made his initial foray into the independent broker/dealer space with his purchase of First Allied Securities and The Legend Group, with 1,500 advisors. Since then, Schorsch has been on an acquisition tear. mark for My Articles similar articles
Investment Advisor
September 2010
Green & Sullivan
Optimists: The 20th Annual Broker/Dealers of the Year Any broker/dealer that isn't getting into continuity planning better hurry up or they'll be out of business. mark for My Articles similar articles
Investment Advisor
September 2008
Bob Clark
Who's Your Daddy? Philip Palaveev's new gig as president of Fusion Advisor Network foreshadows the future of independent advice. mark for My Articles similar articles