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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.  |
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.  |
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 Planning October 1, 2010 Brian Hamburger |
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.  |
Registered Rep. September 30, 2009 David A. Geracioti |
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled.  |
Financial Planning June 1, 2010 Paul Menchaca |
Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it.  |
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.  |
Financial Advisor October 2005 Chris Radford |
Practice Management: What The Survey Doesn't Say Because there are no surefire business plans for success, it takes a unique combination for each financial advisor to find the "x-factor" -- that intangible number in every business opportunity that equals ultimate success.  |
Financial Advisor February 2012 |
Social Media Losing Some Appeal With Financial Advisors Despite the hype about the benefits social media can bring to financial advisors, most advisors don't find it very useful in their businesses.  |
On Wall Street September 1, 2010 Aarti N. Maharaj |
Five Questions With Amy Strong Joining Financial Research Corp. as a research analyst in 2007, she examines the state of the industry and marketing effectiveness.  |
Investment Advisor September 2009 Philip Palaveev |
Tortoise or Hare Which business model is most acceptable to investors? And which to advisors?  |
Investment Advisor August 2010 Melanie Waddell |
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.  |
Registered Rep. September 4, 2013 David Armstrong |
Editor's Letter: September 2013 Most advisors decide to move not because they are wooed to greener pastures, but because pain points inside their current environment have become too great.  |
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.  |
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.  |
Financial Planning June 1, 2008 Philip Palaveev |
Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship.  |
Investment Advisor May 1, 2011 Janet Levaux |
Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm  |
Financial Planning August 1, 2007 John J. Bowen |
The Best in the Business Financial advisors can learn much from studying the business practices of their most successful peers.  |
Registered Rep. January 1, 2005 |
I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors.  |
Registered Rep. June 23, 2010 Halah Touryalai |
Too Much Client Hand-Holding, Not Enough Prospecting The nervous-client-syndrome has yet to wear off. That's according to a new survey that says most advisors are still spending the majority of their time with existing clients rather then generating new business.  |
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 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  |
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.  |
Registered Rep. August 25, 2010 Halah Touryalai |
Better Economic Times Ahead? Your Clients Don't Think So. Advisors seem more optimistic about the economy than their own clients, according to a recent survey.  |
Registered Rep. May 23, 2011 Jodie Papike |
Ninety-five Percent Payout? I Don't Think So The headline payout numbers offered by firms can often be quite misleading so it's not a bad idea to take a second look. There are typically a host of costs that cut into an advisor's net take-home pay, and these can add up.  |
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.  |
Financial Planning September 1, 2008 Callahan & Malo |
Hybrid Chic A trend toward hybrids in the financial services industry is emerging. Increasingly, firms, advisors and brokers are establishing practices that manage both commission -- and fee-based businesses.  |
Financial Planning June 1, 2008 John J Bowen Jr |
Help From My Friends Here are some of the most important issues to consider when working with a financial institution.  |
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.  |
Financial Planning March 1, 2013 John J. Bowen, Jr. |
For Advisors, a Client-Centered Shift More advisors are shifting toward a broader approach and away from investment management.  |
Registered Rep. December 8, 2015 |
2015 Broker Report Card: Show Me The Money Advisors' gross production varied widely by firm in this year's survey results.  |
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.  |
Registered Rep. March 1, 2006 David A. Geracioti |
To Increase Revenue Increase Time Spent With Clients Clients are happier when financial advisors pay close attention to them, and new research suggests that this can manifest itself in more business.  |
Registered Rep. January 22, 2015 Ryan W. Neal |
Advisor Industry Shrinks While Assets Continue to Grow A recent report by Cerulli Associates found that the industry shrank 1.9 percent to 287,119 advisors in 2013. Asset levels, however, are on the rise.  |
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.  |
Financial Advisor May 2012 |
Satisfaction A job satisfaction study by J.D. Power found that financial advisors' happiness with their work is most dependent on their firm's performance.  |
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.  |
Registered Rep. March 31, 2015 Diana Britton |
How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues.  |
On Wall Street October 1, 2013 |
Five Questions with A. Heath Abshure A. Heath Abshure, the outgoing president of the North American Securities Administrators Association discusses his tenure.  |
Financial Planning October 1, 2010 James E. Warren Jr. |
Beyond the Payout Eight critical points that every financial advisor contemplating a change of affiliation should consider.  |
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 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.  |
Financial Planning February 1, 2010 Marion Asnes |
One Fee to Bind Them In 2009, broker-dealer Capital Analysts introduced a new flat-fee business model. So how's it going?  |
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.  |
Registered Rep. October 30, 2015 |
The State of Independence: ETF Plays Advisors' knowledge of exchange traded funds is lacking.  |
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.  |
Registered Rep. June 2, 2015 Megan Leonhardt |
Compensation Survey 2015: The Slowly Disappearing Commission Moving from a commission-based business to one based on fees, advocates argue, removes conflicts and puts advisors on the same side of the table as their clients.  |
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.  |
Financial Advisor May 2009 David J. Drucker |
Crisis Intervention Broker/Dealers unveil new programs to help advisors survive the recession.  |
On Wall Street June 1, 2010 Mark Astarita |
Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship.  |