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Financial Advisor
March 2008
Joel Bruckenstein
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers. mark for My Articles similar articles
Financial Advisor
February 2006
Joel Bruckenstein
Rep Tech A broker-dealer's technology can play a key role in a rep's success and satisfaction. Perhaps independent reps should regularly compare the technology that their B-D offers against what leaders in the field have to offer. mark for My Articles similar articles
Financial Planning
July 1, 2009
Joel P. Bruckenstein
Introducing NetX360 It remains to be seen if Pershing can execute its plan to ensure that clients receive the maximum benefit from their new NetX360 technology. If Pershing succeeds, it could give the company a large technological lead over its competitors. mark for My Articles similar articles
Financial Advisor
March 2011
Joel P. Bruckenstein
The Commonwealth Way This independent broker-dealer has made great strides in integrating technology systems into its advisory platform. 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
October 2012
Joel P. Bruckenstein
A Different Kind Of Leverage Independent broker-dealers are using technology to help their advisors prosper. mark for My Articles similar articles
Investment Advisor
September 2005
Melanie Waddell
The Playing Field: The Image is All Important Document imaging is becoming a must-have technical solution for compliance-conscious financial advisors. 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 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 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
Financial Advisor
November 2010
Joel P. Bruckenstein
A Clean Path This uncluttered portfolio management system will work best for smaller RIA firms. 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
Financial Planning
August 1, 2013
Joel Bruckenstein
Tech Review: Pershing's Next-Generation Platform Pershing's technology platform for advisors gets a far reaching upgrade. 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 Advisor
May 2006
David L. Lawrence
Integrated Advisor Platforms Software can help financial advisors with the one-stop-shop approach. mark for My Articles similar articles
Financial Advisor
March 2011
Andrew Gluck
2011 Tech Trends Advisors should notice these six developments over the coming year. 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
Financial Planning
December 1, 2008
Joel P. Bruckenstein
Financial Planning's Software Survey 2008 Better technology can reap rewards for advisors.. Read on for the results of the Financial Planning Software Survey. mark for My Articles similar articles
Financial Planning
December 1, 2010
Joel Bruckenstein
Technology Survey 2010 With the renewed interest and investment in advisor technology, we expect to see further gains next year. It is a slow process, but as an industry we are becoming more technologically proficient. mark for My Articles similar articles
Investment Advisor
June 2009
Elizabeth D. Festa
B/D Briefing: Keys to B/D Success A new study reveals that a broker/dealer's growth can be stunted, the investor experience harmed, and the firm's brand jeopardized by the lack of an efficient operational platform. mark for My Articles similar articles
Financial Advisor
February 2008
Joel Bruckenstein
Custodians Beef It Up Since advisors' work flows are often intertwined with custodian-supplied technologies, let's take a look at what the custodial firms have in store for 2008. mark for My Articles similar articles
Financial Advisor
March 2012
Eric Rasmussen
Swimming In Shallow Water Broker-dealers face a stagnant rep pool, shrinking margins and the choke hold of regulators. But it's been a boon to the biggest consolidators. mark for My Articles similar articles
Financial Planning
May 1, 2005
Juliette Fairley
Building a Better Platform ING advances the ball on integrated systems to help advisers and supervisors. 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
Financial Advisor
May 2012
David Lawrence
Missed Opportunity Most advisors under utilize the technology offered by their broker-dealer or custodian. Why? mark for My Articles similar articles
Investment Advisor
September 2006
Lauren Barack
Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility. mark for My Articles similar articles
Financial Advisor
December 2009
Eric Rasmussen
Big Guys Fight Back Broker-dealers try to find their bearings in 2010 as their antagonists push back. 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
Financial Advisor
December 2007
Andy Gluck
What The Tech Deals Mean To You Nearly a decade since the first Internet applications for advisors appeared, we are seeing their adoption and acceptance in all corners of the industry. What does it mean now? 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 Planning
June 1, 2010
Paul Menchaca
Tale of a Tough Year What the numbers show: a dramatic seven-month stock market rally was not enough to help most of the top 50 broker-dealers counter the aftershocks of the financial crisis. mark for My Articles similar articles
Financial Advisor
January 2004
Tracey Longo
Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003. mark for My Articles similar articles
Financial Planning
August 1, 2008
Stacy Schultz
B-D of the Future The Broker-Dealer of the Future, Pershing's first study on the industry, identifies factors facing broker-dealers new competitive landscape. mark for My Articles similar articles
Financial Advisor
August 2004
Tracey Longo
All Aboard Planners and advisors continue to switch independent broker-dealers. mark for My Articles similar articles
Registered Rep.
March 1, 2006
Allen Plummer
The Tech Decision Matrix Independent contractors or registered investment advisor reps have tough decisions in choosing their back-office and tech solutions. Here's what they need to consider. mark for My Articles similar articles
Registered Rep.
June 16, 2011
Diana Britton
Securities America Jumps on the Social Media Bandwagon Independent broker/dealer Securities America announced its new social media program, which will allow all of its 1,800 reps to access and post content on Facebook, LinkedIn and Twitter. 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
Financial Advisor
November 2006
LeBlanc & Brounes
Embracing The Future Financial advisory affiliates Pershing and Lockwood get the thumbs-up for their vision, a smooth transition and high client satisfaction. mark for My Articles similar articles
Financial Advisor
November 2010
Bruce W. Fraser
Out Of Retrenchment Independent broker-dealers see good recruiting opportunities in 2011. mark for My Articles similar articles
Financial Advisor
June 2008
Tracey Longo
Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner. 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
May 2007
Eric Rasmussen
What's New At The Custodian Custodians are continuing to offer new services for fee-only planners in their efforts to woo RIAs. 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
June 1, 2009
Paul Menchaca
Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound. 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
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
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.
April 24, 2009
Halah Touryalai
Raymond James Takes a 2Q Hit -- But Gains Retail Advisors Raymond James Financial posted dismal overall earnings for the second quarter, but its private client group appears to be a bright spot. mark for My Articles similar articles
Registered Rep.
March 1, 2008
Christina Mucciolo
What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm. mark for My Articles similar articles
Financial Advisor
August 2006
Tracey Longo
Late Summer Recruiting While the recruiting party will get tougher some day for broker-dealers who cater to independent advisors and reps, for now they are enjoying their competitive advantage: They give brokers and advisors who want to own their own business the chance to do that. mark for My Articles similar articles