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Financial Planning November 1, 2010 Paul Menchaca |
Turning the Page The extent to which the AIG brand is tainted remains unknown. Is it permanently damaged, or will Americans eventually forgive, if not forget? Are advisors still wary of the AIG affiliation?  |
Financial Planning October 1, 2009 Paul Menchaca |
AIG Advisor Group: They're Back Larry Roth maintains that a large, diversified insurance-based financial services company remains a great environment in which to grow a broker-dealer.  |
Financial Planning October 1, 2008 Marion Asnes |
AIG Speaks Out An exclusive interview with the team at the top of AIG Advisor Group.  |
Financial Planning May 1, 2010 Paul Menchaca |
Royal's Big Deal When Rehmann Financial announced in March that it was moving roughly $2.5 billion in client assets to Royal Alliance, it marked more than just a significant business pickup for the New York City-based broker-dealer.  |
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.  |
Investment Advisor April 1, 2011 John Sullivan |
Catching Up With ... Jeff Auld Talk about trial by fire; Jeff Auld left Berthel Fisher Financial Services to head what was then AIG Financial Advisors in July 2008. He is now looking to the future of the rebranded and revitalized SagePoint Financial.  |
Registered Rep. March 29, 2011 Diana Britton |
President of FSC Resigns Suddenly Mark Schlafly, president and CEO of FSC Securities, has suddenly resigned from his position at the AIG Advisor Group broker-dealer because of a family medical emergency.  |
Registered Rep. August 23, 2009 Halah Touryalai |
AIG Advisor Group NOT For Sale, New CEO Says After almost a year of looking for the right buyer, AIG's broker/dealer reps were told that they would not be sold.  |
Financial Advisor June 2007 Sherri Scordo |
Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc.  |
Registered Rep. November 1, 2007 Erik Kolb |
Recruits In The Driver's Seat Recruiting in the independent broker/dealer business has reached a fever pitch. Firms have responded with recruiting incentives such as deferred compensation, transition financing, practice-management help, and sign-on bonuses.  |
Registered Rep. October 28, 2008 Halah Touryalai |
AIG B/Ds Looking for a New Home. Any Takers? Now that its parent has announced plans to sell off portions of itself, the AIG Advisor Group is looking for a new home.  |
Financial Advisor June 2007 Sherri Scordo |
Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc.  |
Registered Rep. March 6, 2012 Diana Britton |
Advisor Group Looking to Buy Mid-Sized B/Ds, Large OSJs AIG Advisor Group is in talks with a few mid-sized broker/dealers and larger offices of supervisory jurisdiction, and hopes to make one or more acquisitions in the near future.  |
Registered Rep. September 17, 2008 |
AIG Saved; Biz As Usual For Its B/Ds The government bailed out AIG from near failure with a two-year loan of $85 million in exchange for a nearly 80-percent stake in the company.  |
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.  |
Financial Advisor June 2009 Jeff Schlegel |
Money In Motion The economic crisis has wreaked havoc on wirehouses, and more advisors are looking for new opportunities.  |
Registered Rep. July 29, 2009 Halah Touryalai |
AIG Advisor Group Sale Is Close The AIG Advisor Group may finally have found a buyer after nine months of operating in limbo.  |
Registered Rep. September 15, 2008 |
AIG Stays Afloat -- For Now The firm has been allowed to lend itself $20 billion for daily operations by borrowing against its own assets. In the meantime, the Fed has hired Morgan Stanley to help it assess its options for keeping AIG afloat.  |
Financial Advisor August 2012 Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.  |
Financial Advisor August 2005 Tracey Longo |
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors.  |
Financial Planning June 1, 2008 Donald Jay Korn |
All Systems Go Clients and income hold steady in the financial services industry.  |
Investment Advisor October 2007 Kara P. Stapleton |
News & Products, October 2007 FINRA fines AXA Advisors for "failing to adequately supervise its fee-based brokerage business"... AIG announces organizational changes... Commonwealth Financial Network provides advisors with Estate Planning Blueprint... etc.  |
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.  |
Financial Advisor November 2010 Bruce W. Fraser |
Out Of Retrenchment Independent broker-dealers see good recruiting opportunities in 2011.  |
Financial Planning June 1, 2013 Ann Marsh |
FP50: Big IBDs Hit a Speed Bump Is the boom over? After years of double-digit growth, independent broker-dealers hit a rough patch in 2012. We report from the front lines of the FP50.  |
Financial Planning June 1, 2007 Donald Jay Korn |
FP50: Pressure Points It's a great time to be in financial services. But broker-dealers' challenges are growing as fast as their opportunities.  |
Registered Rep. August 9, 2010 Susan Konig |
How One BOM Retains Top FAs The dizzying industry turmoil of the last few years has induced wirehouses to offer their top producers some of the largest retention packages ever.  |
Financial Advisor November 2008 Gail Liberman |
War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms.  |
Financial Advisor November 2009 Evan Simonoff |
The Client Paradox For advisors, it's one thing to sense an opportunity. But when you are going through as much emotional stress as most have, it requires a great deal of intestinal fortitude to go out and try to capitalize on it.  |
Financial Advisor August 2007 Tracey Longo |
A World For Advisors Broker-dealers across the country are reporting record revenue increases -- a significant portion of these from fee-based business -- and say they're continuing to step up their game in order to recruit advisors with significant practices.  |
Financial Planning June 1, 2008 Philip Palaveev |
Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship.  |
Financial Planning June 1, 2009 Paul Menchaca |
Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound.  |
Financial Advisor March 2012 Eric Rasmussen |
Swimming In Shallow Water Broker-dealers face a stagnant rep pool, shrinking margins and the choke hold of regulators. But it's been a boon to the biggest consolidators.  |
Registered Rep. February 27, 2014 Mindy Diamond |
Free Agents Many wirehouse advisors are frustrated with increased bureaucracy and a loss of flexibility. In fact, many say they will leave unless their firms re-up the retention deals.  |
| Registered Rep. |
The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014.  |
Financial Advisor April 2005 Tracey Longo |
Winning Over Wirehouse Brokers AIG's transition suites help brokers become independent.  |
Investment Advisor August 2008 |
Changes Mark Schlafly named president and CEO of FSC Securities and Advantage Capital Corp... Jeff Auld named president and CEO of AIG Financial Advisors... Ted Mathas is now the CEO of New York Life Insurance Company... Three new SEC commissioner nominees...  |
On Wall Street September 1, 2010 Howard J. Stock |
Talent Shortage Grips Firms As Financial Advisors Age After years of recruiting only established, top advisors in the so-called "war for talent" instead of hiring younger employees and training them, the industry is now facing a shortage.  |
On Wall Street March 1, 2010 Lauren Barack |
Time For Creative Recruiting With top advisors locked into retention packages, it's becoming harder for wirehouses to boost their ranks.  |
Registered Rep. June 27, 2011 Diana Britton |
The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home.  |
Financial Advisor August 2006 Tracey Longo |
Late Summer Recruiting While the recruiting party will get tougher some day for broker-dealers who cater to independent advisors and reps, for now they are enjoying their competitive advantage: They give brokers and advisors who want to own their own business the chance to do that.  |
Financial Planning June 1, 2008 Stacy Shultz |
Lookin' Good, Broker Dealers As baby boomers approach retirement, some believe there could be no better time to be in the financial services industry.  |
Registered Rep. December 7, 2011 Philip Palaveev |
The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts.  |
Registered Rep. April 21, 2009 Christina Mucciolo |
Smaller Advisors On The Firing Line It used to be that financial advisors never got fired.  |
Registered Rep. November 27, 2015 Mindy Diamond |
(Emotionally) Free Agents The notes attached to many retention packages -- offered in the wake of the 2009 financial crisis to more than 5,000 advisors at the wirehouse firms -- are set to expire in early 2016.  |
Financial Advisor January 2012 Bruce W. Fraser |
Full Steam Ahead What could have been a sad chapter for Securities America now seems to be a new lease on life for the firm.  |
Financial Advisor June 2008 Tracey Longo |
Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner.  |
Financial Planning June 1, 2007 Kathy Gevlin |
Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction.  |
Investment Advisor January 1, 2011 Marlene Y. Satter |
Sitting Tight 2010 will be remembered by broker/dealer recruiters as 'The Year of Going Nowhere.'  |
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.  |