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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. mark for My Articles similar articles
Registered Rep.
June 23, 2011
Diana Britton
Ladenburg Thalmann Possible Buyer in Securities America Sale Ladenburg Thalmann, parent company of Triad Advisors and Investacorp, has emerged as a potential buyer of Securities America, which Ameriprise Financial announced plans to sell in late April. mark for My Articles similar articles
Registered Rep.
March 15, 2012
Diana Britton
Ladenburg Thalmann Revenue Doubles Thanks to SAI acquisition, But Profits Are Slim The spike was primarily due to the company's acquisition of Securities America, adding $57.1 million to Ladenburg's 2011 revenue. Net income for the quarter was $6.4 million, compared to a net loss of $1.1 million for the fourth quarter 2010. mark for My Articles similar articles
Registered Rep.
April 26, 2011
Diana Britton
Ameriprise Profits Rise on Record Advisor Productivity The firm reported its best quarterly advisor productivity ever at $95,000, up 23 percent from 2010. mark for My Articles similar articles
Registered Rep.
August 17, 2011
Ladenburg Thalmann to Buy Securities America Ladenburg Thalmann Financial Services Inc. has agreed to buy Securities America Financial Corp., the troubled independent broker/dealer, from Ameriprise Financial Inc. for at least $150 million in cash. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
April 28, 2011
Diana Britton
Securities America Likely To Sell At Discount Ameriprise needs to find a buyer for Securities America in a hurry. Many advisors, including large producers, are likely to leave the firm, especially between now and the time a buyer emerges, sources told Registered Rep. mark for My Articles similar articles
Financial Planning
August 1, 2011
Donna Mitchell
Ready to Commit Omaha, Neb.-based Securities America is one of Ameriprise's five broker-dealer subsidiaries. That Ameriprise, based in Minneapolis, announced its intention in March to sell the independent broker-dealer without a buyer lined up is also unusual. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
March 28, 2011
Diana Britton
Securities America Nears Resolution With Plaintiffs Securities America has made "substantial progress" in its mediation with plaintiffs' attorneys involved in class action suits against the independent broker/dealer. mark for My Articles similar articles
Financial Planning
May 1, 2010
Paul Menchaca
The Road Ahead Securities America's executive team seems to view its stellar growth with a mix of pride, and a small degree of hesitation. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
October 1, 2012
Scott Wenger
Looking to the Future: Securities America Wants to be a Leader in Retirement Income Distribution The author has a question and answer session with Securities America CEO Jim Nagengast mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
March 17, 2011
Diana Britton
Securities America Faces Settlement Hearing Friday; Legal Liabilities Up in the Air Securities America will face a federal court judge to decide whether the independent broker/dealer gets preliminary approval for a $21 million settlement agreement related to private placements sold by the company. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
August 1, 2006
Kristen French
The More Things Change Despite the big push for millionaire clients throughout the industry in recent years, average annual revenue per financial advisor for all firms has remained relatively constant. mark for My Articles similar articles
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. mark for My Articles similar articles
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 mark for My Articles similar articles
Registered Rep.
August 13, 2008
Halah Touryalai
Ameriprise Buys H&R Block Reps Ameriprise Financial is 900 advisors stronger after it purchased H&R Block Financial Advisors for $315 million in cash. mark for My Articles similar articles
Registered Rep.
July 28, 2011
Diana Britton
Ameriprise: Rep Productivity at New High; Securities America Sale in `Near Future' Advisor productivity reached a new high for Ameriprise Financial. mark for My Articles similar articles
Registered Rep.
March 21, 2011
Diana Britton
Judge Shoots Down Securities America Settlement; Arbitrations Move Forward Securities America's request to bundle several arbitration claims and class action lawsuits into one $21 million settlement agreement related to allegedly fraudulent private placements sold by the company was denied. mark for My Articles similar articles
Financial Planning
March 1, 2010
Donna Mitchell
Open Season NFP Securities says it will become the first independent broker-dealer to offer hybrid advisors a single platform with complete open architecture, empowering advisors to ally with any major custodian they choose. mark for My Articles similar articles
Registered Rep.
April 25, 2011
Diana Britton
Ameriprise to Shed Securities America Amid Pending Settlement The company plans to sell its independent broker/dealer unit Securities America, while the firm is still in the process of finalizing a settlement with investors claiming SAI sold allegedly fraudulent private placement. mark for My Articles similar articles
Financial Planning
June 1, 2010
Paul Menchaca
Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it. mark for My Articles similar articles
Registered Rep.
March 25, 2011
Diana Britton
Securities America Negotiates With Plaintiffs; Saga Continues Securities America met with plaintiff's attorneys to negotiate a resolution to investor claims against the company related to its sale of allegedly fraudulent private placements. mark for My Articles similar articles
Investment Advisor
January 1, 2011
Marlene Y. Satter
Sitting Tight 2010 will be remembered by broker/dealer recruiters as 'The Year of Going Nowhere.' mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
July 8, 2011
Jodie Papike
What To Do When You Smell a Storm Coming At Your B/d New technology and today's 24-hour media cycle have put advisors in a much better position to sniff out trouble at their broker/dealer. mark for My Articles similar articles
Financial Planning
June 1, 2010
Paul Menchaca
Tale of a Tough Year What the numbers show: a dramatic seven-month stock market rally was not enough to help most of the top 50 broker-dealers counter the aftershocks of the financial crisis. mark for My Articles similar articles
Financial Planning
July 1, 2011
Donna Mitchell
Hot Topics FINRA steps in... $80 million settlement of two class-action suits by Securities America... Whistleblower payday... mark for My Articles similar articles
Registered Rep.
November 7, 2011
Diana Britton
Ladenburg Thalmann's Acquisition of Securities America a Done Deal Ladenburg Thalmann has closed the deal to acquire independent broker/dealer Securities America from Ameriprise Financial. mark for My Articles similar articles
Registered Rep.
August 17, 2011
Diana Britton
SAI Sale to Ladenburg Mostly a Positive for Reps--Depends on Retention Packages Ameriprise Financial's sale of Securities America to Ladenburg Thalmann is mostly a positive for the firm's rep base. mark for My Articles similar articles
Financial Planning
June 1, 2008
Philip Palaveev
Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship. mark for My Articles similar articles
Investment Advisor
September 2008
Bob Clark
Who's Your Daddy? Philip Palaveev's new gig as president of Fusion Advisor Network foreshadows the future of independent advice. mark for My Articles similar articles
Financial Advisor
August 2004
Tracey Longo
All Aboard Planners and advisors continue to switch independent broker-dealers. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
May 1, 2005
60 Seconds With David Monday Wachovia Securities' new Individual Investor Group leader talks about his plans for the new division. 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
Registered Rep.
August 12, 2011
Diana Britton
$420 Million Team Leaves Securities America for LPL, As Do Others Some advisors have jumped ship from independent broker/dealer Securities America for LPL Financial following news that parent Ameriprise Financial would sell SAI. mark for My Articles similar articles
Financial Advisor
November 2010
Bruce W. Fraser
Out Of Retrenchment Independent broker-dealers see good recruiting opportunities in 2011. mark for My Articles similar articles
Registered Rep.
March 23, 2011
Philip Palaveev
How To Handle An Imploding Broker/Dealer As we watch one independent broker/dealer after another succumb to regulatory action, financial problems or consolidation, many advisors are questioning the security of their very livelihoods. mark for My Articles similar articles
Financial Advisor
September 2011
Evan Simonoff
Lessons For Everyone The saga of the last few months provides lessons for all financial advisors wrestling with the problem of finding ways to generate retirement income in a world of near-zero interest rates. mark for My Articles similar articles
Registered Rep.
August 19, 2011
Diana Britton
What Will the Securities America Retention Package Look Like? The details of the Ladenburg Thalmann Financial Services' retention packages to Securities America's 1,700 reps are still up in the air. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
February 15, 2012
Diana Britton
More Advisors Fleeing Morgan Keegan Morgan Keegan has lost seven financial advisors since December, FINRA filings show. They follow some 190 other advisors who fled over the past six months. mark for My Articles similar articles
Financial Advisor
November 2010
David Lawrence
Back In The Fold? Will the new regulations force independents to return to broker-dealers? mark for My Articles similar articles
Registered Rep.
March 28, 2008
David A. Geracioti
More Trouble In Auction-Rate Securities Land The State of Massachusetts Secretary of State is investigating the sales practices of auction-rate securities, to learn how these securities are presented to individual clients in the state. mark for My Articles similar articles
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. mark for My Articles similar articles