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Investment Advisor
May 2007
The Original SEC Rule The Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor even when they were being paid fees for investment advice. 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 2010
Green & Sullivan
Optimists: The 20th Annual Broker/Dealers of the Year Any broker/dealer that isn't getting into continuity planning better hurry up or they'll be out of business. 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.
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
Investment Advisor
May 2008
Melanie Waddell
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. 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
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. 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
June 2008
Mike Patton
Lessons Learned As the road smooths after a year of independence, a registered independent advisor shares his insights. mark for My Articles similar articles
Investment Advisor
October 2007
K. McBride & K. Stapleton
Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill. mark for My Articles similar articles
Investment Advisor
March 2006
Melanie Waddell
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. 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
October 2008
James J. Green
When Big Is Better Larry Roth, CEO of the AIG Advisor Group, believes that in these troubled times, being big is quite an advantage. mark for My Articles similar articles
Investment Advisor
March 2009
Kara P. Stapleton
March B/D Briefs: News & Products The latest from the broker/dealer world: Commonwealth Financial Network announces Wayne Bloom will succeed Chairman Joseph Deitch as CEO... Tom Wirtshafter named president of American Portfolios Financial Services and American Portfolios Advisors Inc. ... etc. mark for My Articles similar articles
Registered Rep.
February 26, 2013
Diana Britton
Comings and Goings: March 2013 Independent broker/dealer NFP Advisor Services Group has tapped Dan Schwamb... David Lynn has joined Cole Real Estate Investments... Financial advisor Kevin Robertson has joined Merrill Lynch... mark for My Articles similar articles
Registered Rep.
May 26, 2006
Halah Touryalai
NYSE Cautions Investors on Following Brokers to New Firms The release is part of the "Informed Investor" series developed by the NYSE Regulation to better educate investors. The announcement comes at a time when more reps are choosing to switch firms than at any time since 2002. mark for My Articles similar articles
Investment Advisor
June 2008
Jonathan Henschen
Transfer Time For advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it's time for a reality check. mark for My Articles similar articles
Investment Advisor
September 2008
Melanie Waddell
Striking While the Iron Is Hot Under the direction of Ron Fiske, Fidelity's HybridOne platform aims to serve the booming dually registered market. mark for My Articles similar articles
Investment Advisor
January 2008
Kathleen M. McBride
Big Brokers and Planning FPA is embracing major firms, reaching out with ways to help captive broker/dealer, bank, and wirehouse executives and their reps to shift part of their firms to an advisory model. mark for My Articles similar articles
Registered Rep.
April 6, 2005
John Churchill
SEC Adopts Broker-Dealer Exemption Over the vociferous objections of fee-only financial planners, the SEC voted unanimously to permanently adopt the broker/dealer exemption rule, formerly known as the Merrill Lynch exemption. mark for My Articles similar articles
Registered Rep.
July 23, 2012
Diana Britton
Virgin Banks Few community banks and credit unions offer wealth management services to their customers. But many of these firms are struggling and looking for new sources of income. Broker/dealers are finally tapping these untouched firms with revenue-sharing partnerships. mark for My Articles similar articles
Registered Rep.
March 2, 2015
Megan Leonhardt
Rep as Portfolio Manager Wirehouse and national firms are the most likely to offer advisor-directed platforms, followed by the bank and independent broker/dealer channels. mark for My Articles similar articles
Investment Advisor
September 2007
Kathleen M. McBride
A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates? 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
Registered Rep.
December 1, 2004
John Churchill
If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule. mark for My Articles similar articles
Registered Rep.
April 16, 2014
Mindy Diamond
Outgrowing the IBD For advisors who are managing more than $500 million in client assets and are looking to build an enterprise, the independent broker/dealer model may have become too limiting for them. mark for My Articles similar articles
Investment Advisor
June 2008
Kathleen M. McBride
Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry. 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
Investment Advisor
February 2008
Melanie Waddell
A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008. 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
Investment Advisor
November 2006
Thomas D. Giachetti
Defining Fiduciary What is a financial advisor's true fiduciary duty? mark for My Articles similar articles
Registered Rep.
December 8, 2015
2015 Broker Report Card: How National Brokerage Firms Stack Up REP.'s 25th annual Broker Report Card is the survey that lets advisors from the six major national brokerages rate their employers across a range of factors mark for My Articles similar articles
Registered Rep.
March 30, 2005
John Churchill
House Urges SEC to Adopt Broker-Dealer Exemption Rule At issue, at least as far as financial planners are concerned, is that registered reps are presenting themselves as fiduciaries, when in fact they are brokers with a less-than-fiduciary responsibility to their clients. mark for My Articles similar articles
Investment Advisor
February 2008
Melanie Waddell
A Busy Year in Washington Now that the Rand report assessing the advisory and broker/dealer industries has been released, No doubt advisors and brokers will be anticipating any possible regulatory actions that the SEC may take. 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
May 2010
Robert F. Keane
30 for 30 Interviews: Mark Tibergien The Chief Executive Officer for Pershing Advisor Solutions comments on the biggest change in the advisory profession over the last 30 years. mark for My Articles similar articles
Investment Advisor
July 2010
Melanie Waddell
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. 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
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
Registered Rep.
July 1, 2013
Phillip Flakes
Selling Point Many advisors are coming up on their golden years, but as hard as it is to make the decision to move on, it's even harder to actually sell. Here's a game plan. mark for My Articles similar articles
Investment Advisor
March 2009
James J. Green
The Commonwealth Case Study At the Commonwealth Financial Network Chairman's Retreat, the annual gathering of the broker/dealer's top producers, the vibe is collegial in more ways than one, with blunt talk accompanied by an easy camaraderie. mark for My Articles similar articles
Investment Advisor
March 2007
James J. Green
Silver Lining Despite the silver lining benefits, the financial advisor community can't just react to regulators and legislators. It must be proactive. mark for My Articles similar articles
Registered Rep.
December 1, 2005
Andrew Osterland
Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes. mark for My Articles similar articles
Investment Advisor
December 2006
James J. Green
The Conference Season The fall is conference season for investment advisors and financial planners, marked this year by two of the biggest annual gatherings held just weeks apart -- The Financial Planning Association's meeting followed by Schwab Institutional's Impact show. 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
April 2008
Norman M. Boone
Getting Comfortable With Change Here are some communication tips for introducing change to your clients. 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
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
Registered Rep.
October 1, 2004
John Churchill
BrokerAdvisor BrokerAdvisor Let's Call the Whole Thing Off! The Financial Planning Association and some consumer groups are in court in an effort to block brokers from introducing themselves tp prospective clients as finanical advisors or financial consultants. mark for My Articles similar articles