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Investment Advisor
September 2009
James J. Green
What Representatives Wish For Representatives tell what products or services they wish their current broker/dealers offered, but don't. mark for My Articles similar articles
Investment Advisor
September 2009
James J. Green
How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating. mark for My Articles similar articles
Investment Advisor
May 2006
Kathleen M. McBride
B/D Briefing: Pick Three In a recent reader survey, when asked where reps would go if they were to consider moving to another B/D, three firms were consistently mentioned: Commonwealth Financial Network, LPL Financial Services and Raymond James Financial Services. Here's why. mark for My Articles similar articles
Investment Advisor
April 2007
James J. Green
Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers. mark for My Articles similar articles
Registered Rep.
March 31, 2015
Diana Britton
Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question. 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
Investment Advisor
September 2007
James J. Green
Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment 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
Investment Advisor
July 2009
Jonathan Henschen
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. 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.
June 1, 2006
John Churchill
iPods and Jobs at Raymond James Raymond James Financial Services, is handing out iPods to good recruiting prospects. 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
March 2009
James J. Green
Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness. mark for My Articles similar articles
Investment Advisor
October 2006
Kathleen M. McBride
What Matters Most Results from a Broker/Dealer of the Year poll offer valuable tools for b/ds to see how they are doing, on average, among reps, and where there's room for improvement. mark for My Articles similar articles
Registered Rep.
September 30, 2003
Will Leitch
Lobbying for Independents The Financial Planning Association has lamented, along with many of its members, the absence of a specific lobbying organization for independent broker/dealers. The FPA is now trying to do something about it. mark for My Articles similar articles
Registered Rep.
January 1, 2005
I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors. mark for My Articles similar articles
Investment Advisor
September 2005
Fantastic 5 This year's winning broker/dealers of the year reveal some of the machinery behind the success: Division I -- Geneos Wealth Management... Division II -- Brecek & Young Advisors... etc. 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
Investment Advisor
March 2009
Kara P. Stapleton
Succession & Valuation A Financial Services Institute OneVoice Broker/Dealer session dealt with internal succession, discussing the steps that advisors and independent broker/dealers need to take when developing a succession plan. mark for My Articles similar articles
Investment Advisor
March 2009
James J. Green
The FSI's Priorities Now While the members of the Financial Services Institute compete fiercely with each other in many areas -- within FSI they have subsumed their differences in favor of promoting the common agenda of broker/dealers. 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
Investment Advisor
June 2009
Elizabeth D. Festa
When Less Is More It appears that the best broker/dealers limit the number of investment vehicles on their approved list. mark for My Articles similar articles
Investment Advisor
September 2006
Woodbury Financial services Woodbury Financial is a big firm, with nearly 2,000 producing reps, and a big corporate parent in the form of The Hartford. But a simple comment on a Broker/Dealer of the Year ballot from one of Woodbury's reps was instructive on the firm's personal appeal to reps. mark for My Articles similar articles
Registered Rep.
May 24, 2006
Kristen French
Broker Sanctioned for Violation of Patriot Act After nearly a year and a half since the law's passage and after over a dozen brokerage firm audits, the SEC took its first enforcement action against a broker/dealer. Yet, in so doing, the SEC noted that broker/dealers are generally doing a very good job of complying. 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
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.
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
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
June 2009
Russ Diachok
Coming to an RIA Near You One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. mark for My Articles similar articles
Investment Advisor
September 2006
Robert F. Keane
The Investment Center If keeping your representatives satisfied is the name of the game for broker/dealers, then it's no surprise that Ralph DeVito and The Investment Center are the winning team in Division II this year. mark for My Articles similar articles
Registered Rep.
February 14, 2012
Diana Britton
Yield of Dreams: IBD's Biggest Competition Might be a Custodian As margins continue to be squeezed, IBDs are going to have to get creative with where their revenues comes from, and that means expanding into the RIA and custody market. The question is, who'll make the next move? 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
Investment Advisor
October 2009
Melanie Waddell
B/Ds Warned on Recruiting SEC Chairman Mary Schapiro sent a letter to broker/dealer CEOs, reminding them of their supervisory obligations under federal securities laws. mark for My Articles similar articles
Investment Advisor
April 2010
James J. Green
Broker/Dealer Briefing: Cetera Ready to Grow Former Ing Broker/Dealers Are Committed to the new Cetera Financial Hybrid Model. mark for My Articles similar articles
Investment Advisor
July 2007
Jonathan Henschen
B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees... mark for My Articles similar articles
Investment Advisor
December 2009
Broker/Dealer News New developments at Raymond James, LPL Financial, and Broadridge Financial Solutions. mark for My Articles similar articles
Registered Rep.
May 1, 2004
Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing. 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
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
May 2009
James J. Green
Pershing Service for RIAs at B/Ds Pershing LLC introduces a new service for its affiliated broker/dealer firms called RIA Complete. mark for My Articles similar articles
Investment Advisor
September 2007
Kathleen M. McBride
Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities. mark for My Articles similar articles
Investment Advisor
June 2008
McBride & Roberts
The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today. mark for My Articles similar articles
Investment Advisor
June 2008
Kara P. Stapleton
Power of the Platform LPL will build a custodial offering for its own -- and outside -- RIAs. mark for My Articles similar articles
Investment Advisor
March 2009
Melanie Waddell
When It Pays to Fight City Hall An annual analysis of litigated disciplinary proceedings brought by the SEC and FINRA against broker/dealers and registered representatives shows that it sometimes pays for B/Ds and reps to litigate against the regulators. mark for My Articles similar articles
Investment Advisor
May 2008
Savita Iyer-Ahrestani
DIY Clearing, Made Easy Fidelity's National Financial promises to do what any other outsourcing vendor does: Save time and money for self-clearing broker/dealers so that they can focus on developing their core competencies. 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
Investment Advisor
June 2006
Green & Murphy
Recruiting Wars: Freedom and Culture The underlying dilemma of independent broker/dealers and their reps -- interdependence versus independence -- is one of the main dynamics in play when it comes to recruiting reps. mark for My Articles similar articles
Investment Advisor
June 2009
James J. Green
Numerology: Fund Flows Bounce Back Independent and regional broker/dealers, along with RIAs, will account for the majority of mutual fund net sales by the year 2013. 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
Investment Advisor
March 2009
James J. Green
IA Interview: Changing of the Guard, Sort Of Wayne Bloom's accession at Commonwealth signals business as usual for the independent broker/dealer, with a twist. mark for My Articles similar articles