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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. mark for My Articles similar articles
Registered Rep.
May 2, 2011
Kristen French
Raymond James, Commonwealth to Give FAs Free Reign on Social Media In other words, they will be able to post tweets, updates and comments that have not been pre-approved in real time. mark for My Articles similar articles
Registered Rep.
September 19, 2011
Diana Britton
More Advisors Using, Prioritizing Social Media, Survey Says Not only are more advisors using social media for business purposes, but more are making it a priority. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
May 25, 2011
Lauren Barack
Morgan First On Wall Street to Crack Social Media Code Morgan Stanley is in the process of testing a pilot program that would allow its financial advisors to interact with clients and others on social media websites Twitter and LinkedIn. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
December 16, 2011
Diana Britton
Social Media Archiver Erado to Expand Globally Erado, which provides social media compliance and archiving software for broker/dealers, plans to expand its operations into Western Europe, Canada and possibly Japan next year, and expects to add at least 30 new employees in 2012. mark for My Articles similar articles
Financial Planning
January 1, 2012
Donna Mitchell
Who's Afraid of Social Media? Social media compliance is a subject that elicits a range of reactions from planners, from groans to cautious, curious questions. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
October 27, 2011
Kristen French
Momentum Building for Social Media Adoption in Financial Services Financial firms that are using social media are not talking about their products or engaging their customer base. mark for My Articles similar articles
Financial Planning
July 1, 2011
Donna Mitchell
Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value. mark for My Articles similar articles
Registered Rep.
October 19, 2011
Diana Britton
Registered Rep/Wealth Management.com Research: Indies, Insurers Take Lead on Social Media RIAs, independent broker/dealers and insurance companies are taking the lead in social media usage, ahead of wirehouses, regional firms and bank brokerages. mark for My Articles similar articles
Investment Advisor
April 21, 2011
John Sullivan
Commonwealth Financial to Allow Rep Access to Social Media Beginning in early June of 2011, it would allow its advisors to use social media, including Facebook, Twitter, LinkedIn and blogs. mark for My Articles similar articles
On Wall Street
March 1, 2010
Mark Astarita
Advisors Allowed To Get Social Some firms will continue to ban social media, while others will use the necessary software to allow it-just don't make a recommendation on one of the sites. 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.
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. mark for My Articles similar articles
Registered Rep.
March 3, 2010
Kristen French
New Social Networking Site Targets FAs LinkedFA is a new website is trying to cash in on the social networking craze and resolve some of the thorny regulatory questions that social networking sites raise for financial advisors. mark for My Articles similar articles
Registered Rep.
November 4, 2014
Megan Leonhardt
Wires Have Biggest Social Media Footprint Out of all advisors, it's those sitting at banks who are most reluctant to embrace social media -- only about one out of every five use it, a number that has not budged much from previous years. mark for My Articles similar articles
Financial Advisor
March 2010
Joel P. Bruckenstein
Beware The Pitfalls The advantages of social media for advisors are being trumpeted loudly, but the risks are heard less. mark for My Articles similar articles
On Wall Street
October 1, 2013
Alix Stuart
A Social Media Presence May Enhance Business Now that advisors are (finally) allowed to use it, social media is finding its place in the marketing arsenal. 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
Registered Rep.
October 31, 2014
Megan Leonhardt
The Lost Opportunity Despite the greater freedom and advantages using the tools can bring, only 53 percent of advisors at RIA firms are using social media for business. mark for My Articles similar articles
Investment Advisor
June 10, 2011
Janet Levaux
BDs Beware: Banning Facebook Is Bad Policy, Says Socialware's Chad Bockius Socialware CEO says that prohibiting use of Facebook, Twitter and LinkedIn might lead to financial advisors switching firms. mark for My Articles similar articles
Financial Planning
July 1, 2013
Joel Bruckenstein
Tech Review: New Digital Content Services Two new services allow advisors to deliver online content to clients and prospects via social networks. mark for My Articles similar articles
Registered Rep.
March 1, 2006
Kristen French
The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients. mark for My Articles similar articles
Financial Advisor
March 2012
Gail Liberman
Social Media Hurdles Some advisors are using social media for marketing, but many haven't spent much time using it because of compliance issues. mark for My Articles similar articles
Registered Rep.
July 29, 2013
Diana Britton
No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs. mark for My Articles similar articles
CIO
May 1, 2012
Kim S. Nash
Financial Company Gets Social, Stays Compliant Commonwealth Financial allowed its financial planners to set up social media profiles and interact with customers by using new tools that let them log conversations mark for My Articles similar articles
Registered Rep.
March 29, 2012
Jerry Gleeson
Social Media Works, Advisors Say Social media is gaining momentum with financial advisors, new research by Registered Rep. and wealthmanagement.com shows. 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 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. mark for My Articles similar articles
Financial Planning
December 1, 2009
Chris Hall
Socially Adept Participation in social media -- LinkedIn, Facebook, Ning, Groupsite, Twitter, blogs, YouTube -- is now a workplace reality. mark for My Articles similar articles
Registered Rep.
June 1, 2012
Diana Britton
Breaking Out: A New Era in Insurance Insurance firms constantly go through cycles of acquisition and sale when it comes to their broker/dealer subsidiaries. But the current sell cycle is different, and it may shake up how the business works. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
February 24, 2012
Diana Britton
Some Morgan Keegan FAs Eager for Raymond James' Social Media Tools For some Morgan Keegan advisors, Raymond James is dangling a fairly tasty technological carrot: Immediate access to an advanced social media content, archiving and distribution platform. 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
January 2012
Brian Hamburger
Who Will Start The Revolution? Big firms give "Big Brother" nod to social media. mark for My Articles similar articles
Registered Rep.
February 16, 2010
Mindy Diamond
Recruiting Bonuses Are Still Strong TD Ameritrade, Schwab, Fidelity and Pershing are all reporting that their pipelines of interested advisors is more robust than ever in their collective histories. mark for My Articles similar articles
On Wall Street
May 1, 2010
Gerri Leder
Keeping In Touch And Getting New Business With Social Media Personal use of Facebook and business use of LinkedIn are converging, sometimes leading to new business and sometimes just rekindling relationships with acquaintances who might otherwise be lost. mark for My Articles similar articles
Registered Rep.
November 5, 2012
Diana Britton
Defying the Odds It's orthodoxy that small IBDs won't be able to stay in business given the unprecedented increase in regulatory and technology costs. Yet some tiny firms are bucking the trend. Here's how they're doing it. 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 Advisor
March 2008
Joel Bruckenstein
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers. 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
Registered Rep.
May 5, 2010
Kristen French
Small B/Ds in A Crunch, Expect More Closures, Mergers In 2010 Squeezed by investor lawsuits, rising compliance and insurance costs, as well as departing advisors and clients, some of the industry's smallest independent broker/dealers are struggling to stay afloat. 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
Investment Advisor
August 2010
Marlene Y. Satter
Broker/Dealer Briefing: Facebook and Twitter: Compliance Concerns Loom As FINRA notes, social media is no longer a trivial pursuit for advisors. And as they've grown more complex, the need to consider compliance issues for all communications on social media has grown from mere prudence to a necessity. mark for My Articles similar articles
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. 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
Financial Advisor
June 2009
Joel P. Bruckenstein
Stepping It Up Broker-dealers are enhancing the technology they offer to advisors. mark for My Articles similar articles
Financial Advisor
March 2012
Mike Byrnes
Massachusetts Addresses Social Media Regulation Results from a July 2011 survey by the Massachusetts Securities Division found a significant growth trend in advisors using social media, but also found compliance deficiencies in existing social media regulations. mark for My Articles similar articles