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Investment Advisor September 2006 Melanie Waddell |
Next Financial Group Only seven years old, NEXT Financial has won broker/dealer of the year honors for the sixth year in a row, and did it in three different divisions as its rep force has grown.  |
Registered Rep. September 7, 2011 Diana Britton |
Seven B/Ds Sign on With Erado for Interactive Social Media Use The partnerships will allow these firms' reps to post interactive content to Facebook, Twitter, and LinkedIn without pre-approval by their compliance departments.  |
Investment Advisor June 2009 James J. Green |
Leadership In volatile times, communication and culture are broker/dealer leaders' touchstones.  |
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.  |
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.  |
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.  |
Registered Rep. July 27, 2011 Diana Britton |
NPH Adopts Social Media Strategy to Help Reps Connect with Clients National Planning Holdings plans to roll out a social media initiative this fall, which will allow its 3,563 reps to use Twitter, LinkedIn and Facebook to communicate with clients.  |
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.  |
Registered Rep. September 1, 2004 Anne Field |
The Weight of Words It's a paradox confronting brokers all over the country: In a business climate that calls for ever-increasing advisor-client intimacy, financial professionals are measuring their words more carefully than ever.  |
Investment Advisor January 2010 James J. Green |
B/D Briefing: Alignment Time A short interview with Patrick McEvoy, CEO of Woodbury Financial, a 1,700-rep independent broker/dealer.  |
Investment Advisor September 2009 James J. Green |
Chosen: 2009 Broker/Dealers of the Year The firms given the highest ratings among their peers by their own reps in the 19th annual Broker/Dealer of the Year balloting.  |
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  |
Investment Advisor June 2010 Thomas D. Giachetti |
Independence's Issues There are four main challenges faced these days by independent broker/dealers.  |
Investment Advisor February 2007 Kathleen M. McBride |
A Matter of Life and Health For many advisors who are affiliated with independent broker/dealers and either running, or employed by, a small business, health insurance coverage can be expensive and sometimes elusive. That may be changing.  |
Investment Advisor September 2005 Andrew Gluck |
The Gluck Report, Part II: Broker/Dealer Tech Report How broker/dealer Portfolios Financial Services uses technology to maximize business.  |
Registered Rep. March 1, 2008 |
How to Dance the Wall Street Shuffle There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition.  |
Registered Rep. June 1, 2007 |
All About the Benjamins Reps say the darndest things.  |
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.  |
Investment Advisor September 2009 |
Broker/Dealer of the Year, Division II Quick company stats of The Investment Center.  |
Investment Advisor January 2008 Kathleen M. McBride |
Clearly Profitable It's an evolution revolution at the big clearing firms.  |
Investment Advisor September 2009 |
Broker/Dealer of the Year, Division IV Quick company stats of Woodbury FInancial Services.  |
Investment Advisor September 2008 James J. Green |
You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions.  |
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.  |
Registered Rep. September 1, 2004 Will Leitch |
For Advisors, 2003 Was a Better Year The fortunes of advisors took a turn for the better in 2003, according to the annual report from the Securities Industry Association.  |
Entrepreneur May 2006 Kimberly L. McCall |
The Price Is Right Advice on winning the price wars.  |
Registered Rep. October 1, 2002 Daryl T. Logullo |
Don't Let Corporate Red Tape Stifle You Advice for financial advisers trying to avoid compliance problems when giving interviews.  |
Investment Advisor June 1, 2011 John Sullivan |
2011 Broker-Dealer Presidents' Poll--Slideshow Broker-dealer recruiting expert Jon Henschen talks about the state of the industry, what it means for reps and what it means for clients.  |
Registered Rep. April 1, 2009 Halah Touryalai |
No Buyers--Still--For AIG-owned B/Ds AIG announced its plan to sell its independent broker/dealers back around October 2008. Six months later, nothing has changed except that reps we spoke to are even more frustrated. Some say they are ready to bolt.  |
Registered Rep. July 8, 2011 Lauren Barack |
AIG's Advisor Group Kicks Open Door to Social Media For Reps Advisor Group will allow its more than 4,800 independent reps to, in many cases, post freely on Twitter, LinkedIn and Facebook.  |
Registered Rep. June 1, 2007 |
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts?  |
Registered Rep. October 1, 2005 Matt Barthel |
Insurance and the Generation Gap Reps historically have been reluctant to sell life insurance because of the steep learning curve associated with the products, and there is evidence that many still are hesitant to put forth the effort necessary to grasp the products' nuances.  |
Registered Rep. October 1, 2006 Janet Arrowood |
Protect Your Clients, Protect Yourself If registered reps don't sell their clients life insurance, someone else will -- and that's a risk reps probably shouldn't take. At least, that's one conclusion that can be drawn from the results of two separate studies.  |
Investment Advisor October 2007 Kathleen M. McBride |
A Shot in the Dark When giving advice on investments as full-service reps do, what is that worth as opposed to taking orders for execution as discount brokers do? It has been difficult to analyze whether full-service representatives are getting paid what they are worth, relative to their peers.  |
Financial Advisor August 2005 David J. Drucker |
An Uncommon Practice Management Guru What's so special about Joni Youngwirth? How about the career history and specialized training that make her the perfect advisor to reps, not to mention the passion she brings to her position, vice president of practice management.  |
Financial Advisor July 2010 Andrew Gluck |
A New Era With broker-dealers now starting to embrace social media, advisors have many more ways to market their firms.  |
Registered Rep. October 1, 2004 Will Leitch |
The Rep's Ugly Friend As the industry continues its inexorable march toward "wealth management," advisors have had to add new tools to their workbenches. Among all of them, reps seem to have the most trouble getting comfortable with life insurance.  |
Registered Rep. August 29, 2014 Diana Britton |
One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers.  |
Financial Advisor June 2006 Tracey Longo |
Is Any Stone Unturned? Is the NASD's regulatory clampdown over? Major changes are in place at the sales force level.  |
Registered Rep. September 7, 2015 Anne Field |
How to Recruit from the Top R.M. Zalatimo wants to grow by wooing big wirehouse advisors to his independent broker/dealer practice.  |
Investment Advisor October 2008 James J. Green |
Is Consolidation Finally Here? Several recent deals for mid-sized independent broker/dealers raises the question.  |
Investment Advisor May 2006 Murphy & Green |
Breaking Away As the number of breakaway brokers continues to rise, broker/dealers and custodians have implemented programs designed to make the broker's transition to independence as seamless as possible.  |
Financial Planning May 1, 2007 Andy Effron |
Practice Tips Finding time to recruit reps and grow your practice can be challenging. But if you're willing to supervise, perform audits and have a Series 24, you can potentially act as an Office of Supervisory Jurisdiction and collect overrides from reps.  |
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.  |
Investment Advisor September 2006 |
Contemporary Financial Solutions When it comes to an innovative business model, Contemporary Financial Solutions may have the most unique business plan: it welcomes lower producing representatives and treats them like VIPs.  |
Entrepreneur December 2005 Kimberly L. McCall |
Money Talks Motivate sales reps with the almighty dollar.  |
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.  |
Registered Rep. January 1, 2005 David A. Gaffen |
Third Time Is a Harm A NASD proposal first announced in 2003 requires that reps with three or more formal complaints against them receive extra supervision from their firms. Most major broker/dealers are already operating as if the rule were in place.  |
Investment Advisor September 2007 Robert F. Keane |
Know What Else I Could Use? For the most part, reps are pretty satisfied with the products and services that their B/Ds offer.  |
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  |
Investment Advisor June 2008 McBride & Roberts |
The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today.  |