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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.  |
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 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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
Investment Advisor June 2008 Mike Patton |
Lessons Learned As the road smooths after a year of independence, a registered independent advisor shares his insights.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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...  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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?  |
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  |
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.  |
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.  |
Investment Advisor June 2008 Kathleen M. McBride |
Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry.  |
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.  |
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.  |
Investment Advisor June 2007 Lauren Barack |
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms.  |
Investment Advisor November 2006 Thomas D. Giachetti |
Defining Fiduciary What is a financial advisor's true fiduciary duty?  |
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  |
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.  |
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.  |
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.  |
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.  |
Investment Advisor July 2010 Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
Investment Advisor April 2008 Norman M. Boone |
Getting Comfortable With Change Here are some communication tips for introducing change to your clients.  |
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.  |
Investment Advisor August 2008 James J. Green |
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady  |
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.  |