| Similar Articles |
 |
Financial Advisor March 2008 Joel Bruckenstein |
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers.  |
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.  |
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.  |
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.  |
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.  |
Financial Advisor October 2012 Joel P. Bruckenstein |
A Different Kind Of Leverage Independent broker-dealers are using technology to help their advisors prosper.  |
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.  |
Financial Advisor September 2009 Andrew Gluck |
Trimming The Sails Schwab Institutional and Albridge up the ante and upgrade their platforms to boost advisor efficiency.  |
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.  |
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.  |
Financial Advisor November 2010 Joel P. Bruckenstein |
A Clean Path This uncluttered portfolio management system will work best for smaller RIA firms.  |
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.  |
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.  |
Financial Planning June 1, 2008 Donald Jay Korn |
All Systems Go Clients and income hold steady in the financial services industry.  |
Financial Advisor May 2006 David L. Lawrence |
Integrated Advisor Platforms Software can help financial advisors with the one-stop-shop approach.  |
Financial Advisor March 2011 Andrew Gluck |
2011 Tech Trends Advisors should notice these six developments over the coming year.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
Financial Planning May 1, 2005 Juliette Fairley |
Building a Better Platform ING advances the ball on integrated systems to help advisers and supervisors.  |
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.  |
Financial Advisor May 2012 David Lawrence |
Missed Opportunity Most advisors under utilize the technology offered by their broker-dealer or custodian. Why?  |
Investment Advisor September 2006 Lauren Barack |
Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility.  |
Financial Advisor December 2009 Eric Rasmussen |
Big Guys Fight Back Broker-dealers try to find their bearings in 2010 as their antagonists push back.  |
Investment Advisor June 2007 Lauren Barack |
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms.  |
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?  |
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.  |
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.  |
Financial Advisor January 2004 Tracey Longo |
Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003.  |
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.  |
Financial Advisor August 2004 Tracey Longo |
All Aboard Planners and advisors continue to switch independent broker-dealers.  |
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.  |
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.  |
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.  |
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.  |
Financial Advisor November 2010 Bruce W. Fraser |
Out Of Retrenchment Independent broker-dealers see good recruiting opportunities in 2011.  |
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.  |
Financial Planning June 1, 2008 Philip Palaveev |
Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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  |
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.  |
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.  |
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.  |