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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
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 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
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. mark for My Articles similar articles
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. 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.
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
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
September 2009
Philip Palaveev
Tortoise or Hare Which business model is most acceptable to investors? And which to advisors? mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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 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 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
May 1, 2011
Janet Levaux
Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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 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.
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. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
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. 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.
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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.
March 31, 2015
Diana Britton
How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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? mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
October 30, 2015
The State of Independence: ETF Plays Advisors' knowledge of exchange traded funds is lacking. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
May 2009
David J. Drucker
Crisis Intervention Broker/Dealers unveil new programs to help advisors survive the recession. mark for My Articles similar articles
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. mark for My Articles similar articles