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Registered Rep.
October 29, 2009
Kristen French
RJFS Raises RIA minimums, LPL Pulls Past RJ in RIA Assets Raymond James is raising minimums for new RIAs who want to custody assets on its RJFS-IAD platform from $30 million to $50 million. 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
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
Registered Rep.
February 18, 2009
Halah Touryalai
LPL's New RIA Offering Lookin' Healthy; But Still A Pipsqueak Compared To Rivals There are some folks in the industry actually doing relatively well these days. Seriously. LPL Financial said today its new-ish RIA platform now has over $1 billion in new assets. 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
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.
January 25, 2010
Halah Touryalai
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets. mark for My Articles similar articles
Registered Rep.
February 13, 2012
Jerry Gleeson
Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead. mark for My Articles similar articles
Registered Rep.
April 28, 2005
Kristen French
Raymond James Fined, Plans to Drop Fee-Based Brokerage As part of the sanctions imposed by the NASD, if Raymond James doesn't discontinue its fee-based brokerage business, the firm will have to retain an independent consultant to oversee the creation of a supervisory system for the fee-based brokerage business. mark for My Articles similar articles
Registered Rep.
April 2, 2012
Diana Britton
Concert Breaks Into the Hybrid Market Via LPL Partnership RIA aggregator Concert Advisor Services has launched a new hybrid platform, Concert Advisors, and partnered with independent broker/dealer LPL Financial to provide brokerage and custody services. 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
Registered Rep.
February 7, 2012
Diana Britton
LPL Posts Record Revenue For Year, Despite Volatility While other firms suffered in the fourth quarter on slow client activity, LPL Financial announced earnings today of $39.4 million for the quarter, up $156 million from a net loss of $116.6 million in the fourth quarter 2010. mark for My Articles similar articles
Registered Rep.
October 26, 2010
Jerry Gleeson
Net Assets Rise at LPL, TD Ameritrade Trading revenue (excluding asset-based fees and advisory assets), however, was less impressive, with LPL posting modest gains and TDA seeing big declines. (Not surprising, given the overall market conditions.) mark for My Articles similar articles
Registered Rep.
January 23, 2009
Halah Touryalai
Raymond James Lookin' Good--But For How Long? The folks at Raymond James have something to smile about -- the company posted positive numbers for the first quarter of fiscal 2009, and managed to beat some analysts' expectations. 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
Registered Rep.
May 5, 2008
LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs. mark for My Articles similar articles
Registered Rep.
February 7, 2011
Jerry Gleeson
LPL Financial Posts Growth in Assets, Advisors LPL Investment Holdings reported higher revenue and adjusted profit numbers for the fourth quarter, as the acquisition of an advisor network in 2010 boosted assets and advisors at the firm. mark for My Articles similar articles
Registered Rep.
March 5, 2012
Diana Britton
Your Broker/Dealer May Be Headed for Divorce As independent broker/dealers continue to consolidate and the search for profitability accelerates, some firms may be considering going self-clearing, analysts and industry executives say. mark for My Articles similar articles
On Wall Street
March 19, 2013
Bill Willis
Recruiter's Tour of Raymond James Morgan Keegan employees were required to make a home office visit after their firm was acquired by Raymond James. 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
Investment Advisor
March 2010
James J. Green
RIA Growth at LPL The biggest independent broker/dealer is growing rapidly in another way: as a custodian for advisors that use LPL Financial as the custodian for their RIA activities. mark for My Articles similar articles
Investment Advisor
August 2008
James J. Green
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady 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
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
Registered Rep.
July 22, 2010
Christina Mucciolo
Raymond James Financial and Wells Fargo Retail Brokerage Units Hang In There A report on earnings from two major financial firms. 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
Registered Rep.
February 8, 2011
Jerry Gleeson
LPL's Casady Sees Better Advisor Growth In `11 Though the firm managed to rack up strong revenue and profit growth last quarter and in fiscal 2010, it did not meet the annual recruiting target of 400 net new advisors that Casady had set. mark for My Articles similar articles
Investment Advisor
September 2009
James J. Green
Where Representatives Would Go This year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate. mark for My Articles similar articles
Registered Rep.
March 31, 2015
Megan Leonhardt
The Increasingly Happy Broker Generally speaking, the smaller the firm, the happier the broker, according to our fifth Independent Broker/Dealer Report Card survey. mark for My Articles similar articles
Registered Rep.
April 29, 2005
Kristen French
Raymond James Fined, Drops Fee-Based Brokerage---Will Others Follow? Following the NASD fine of Raymond James for pushing fee-based accounts on the wrong clients, the next question is how the settlement will affect other firms that offer the same accounts, including wirehouse giants Morgan Stanley, Merrill and Smith Barney. mark for My Articles similar articles
Registered Rep.
December 9, 2003
Will Leitch
Raymond James Audits Itself In the wake of last week's news that regulators have recommended "enforcement action" against Raymond James Financial for failure to offer clients breakpoints, the Florida-based brokerage has called for an all-hands-on-deck audit of its mutual fund trading. mark for My Articles similar articles
Investment Advisor
December 2009
James J. Green
Catching Up With...Gary Gallagher A chat with LPL's executive VP strategic programs and support services. mark for My Articles similar articles
Registered Rep.
April 2, 2012
Diana Britton
It's Official: Morgan Keegan Advisors Now Work for Raymond James The next step in the integration process will be to roll out Raymond James' products and services to Morgan Keegan advisors. mark for My Articles similar articles
Registered Rep.
June 1, 2006
John Churchill
Life After Tom After 36 years as CEO of Raymond James Financial, 63-year-old Thomas James may one day soon have time to improve his golf game. mark for My Articles similar articles
Registered Rep.
April 21, 2011
Diana Britton
Raymond James Adds Assets, Loses Advisors Raymond James Financial's Private Client Group led the firm's growth in the second quarter. mark for My Articles similar articles
Investment Advisor
September 2006
Kathleen M. McBride
B/d Briefing: Raymond James Gets Results In the continuing evolution of the investment industry, one consistent trend has been the gradual reduction in fees. Could lower costs be next for variable annuities? mark for My Articles similar articles
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
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
Registered Rep.
September 1, 2010
Halah Touryalai
Outgrowing the SERIES 7 There is a coveted cohort of dually registered advisors who are dropping their Series 7 licenses and leaving their b/ds behind. mark for My Articles similar articles
Registered Rep.
October 20, 2010
Jerry Gleeson
Profits Soar at Wells Fargo, Raymond James The brokerage business of Wells Fargo of San Francisco, and independent b/d Raymond James Financial Inc. of St. Petersburg, Fla., both reported mixed performances today, with sharply higher year-over-year profits contrasting with more subdued sequential results. mark for My Articles similar articles
Financial Advisor
March 2012
Raymond James Hedges Bets Raymond James Financial Services CEO Dick Averitt related a story of how the independent contractor grew from a relatively small base 25 years ago to the largest part of the brokerage firm's business today. 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.
October 20, 2011
Diana Britton
Raymond James Posts Flat Earnings, Record Advisor Productivity in Fiscal Q4 CEO Paul Reilly said the private client group had strong performance driven by record advisor productivity. mark for My Articles similar articles
Financial Planning
March 1, 2007
Elizabeth O'Brien
Clearly, Competition LPL's clearing deal with AXA Advisors prompts questions about recruitment among independent broker-dealers. 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
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
Registered Rep.
July 21, 2011
Diana Britton
Raymond James Rep Count, Assets Up Amid Tough Recruiting Environment Raymond James Financial's private client group added 20 advisors and reported a $3 billion boost in client assets. 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 Advisor
November 2005
Tracey Longo
All For Advisors Brokerage executives are doing their best to deliver the tools advisors need to move their business to the next level, while still remaining efficient. That includes streamlined technology, investment and rebalancing selections, outsourcing, practice management and business development assistance. 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