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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
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
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
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
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.
January 25, 2010
Halah Touryalai
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets. 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.
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
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
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.
February 18, 2009
Halah Touryalai
LPL's New RIA Offering Lookin' Healthy; But Still A Pipsqueak Compared To Rivals There are some folks in the industry actually doing relatively well these days. Seriously. LPL Financial said today its new-ish RIA platform now has over $1 billion in new assets. mark for My Articles similar articles
Registered Rep.
February 7, 2011
Jerry Gleeson
LPL Financial Posts Growth in Assets, Advisors LPL Investment Holdings reported higher revenue and adjusted profit numbers for the fourth quarter, as the acquisition of an advisor network in 2010 boosted assets and advisors at the firm. mark for My Articles similar articles
Registered Rep.
May 5, 2008
LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs. 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
June 1, 2008
Elizabeth O'Brien
Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA. 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.
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.
July 14, 2010
Halah Touryalai
LPL Acquires Retirement Broker/Dealer LPL continues its growth streak with the acquisition of assets from National Retirement Partners, a California based broker/dealer. mark for My Articles similar articles
Registered Rep.
October 26, 2011
Diana Britton
LPL Posts Strong 3Q Earnings; Adjacent Acquisition Could Be in Pipeline The real buzz during LPL Financial's earnings conference call was around the firm's acquisition pipeline, which chairman and CEO Mark Casady said was strong. mark for My Articles similar articles
Investment Advisor
March 2010
James J. Green
RIA Growth at LPL The biggest independent broker/dealer is growing rapidly in another way: as a custodian for advisors that use LPL Financial as the custodian for their RIA activities. mark for My Articles similar articles
Registered Rep.
May 14, 2015
Megan Leonhardt
LPL Incentivizes Hybrid RIAs to Bring Assets Over LPL Financial is offering its hybrid advisors up to $100,000 to shift their assets held elsewhere to LPL's advisory platforms, according to an internal communication sent to advisors Wednesday. mark for My Articles similar articles
Registered Rep.
October 27, 2011
Diana Britton
Ameriprise Profits, FA Productivity Down Amid Solid Recruiting Quarter Ameriprise Financial has been steadily improving the productivity of its advisors since the firm set its sights on this goal over a year ago - until now. mark for My Articles similar articles
Registered Rep.
February 8, 2011
Jerry Gleeson
LPL's Casady Sees Better Advisor Growth In `11 Though the firm managed to rack up strong revenue and profit growth last quarter and in fiscal 2010, it did not meet the annual recruiting target of 400 net new advisors that Casady had set. 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
Registered Rep.
April 25, 2011
Kristen French
LPL Reports First Quarter Income Up 92 Percent LPL Financial reported net income of $49 million, or 43 cents a share for the first quarter of 2011, a 92 percent jump from the first quarter of 2010. mark for My Articles similar articles
Registered Rep.
July 27, 2011
Diana Britton
LPL Posts Record Revenues, Asset Levels; Adds 100 Reps LPL Financial reported record revenues in the second quarter of $894 million, a 13.1 percent gain. mark for My Articles similar articles
Investment Advisor
August 2008
James J. Green
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady 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
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
Registered Rep.
May 2, 2011
Diana Britton
Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial mark for My Articles similar articles
Registered Rep.
October 26, 2010
Jerry Gleeson
Net Assets Rise at LPL, TD Ameritrade Trading revenue (excluding asset-based fees and advisory assets), however, was less impressive, with LPL posting modest gains and TDA seeing big declines. (Not surprising, given the overall market conditions.) mark for My Articles similar articles
Registered Rep.
March 5, 2012
Diana Britton
Your Broker/Dealer May Be Headed for Divorce As independent broker/dealers continue to consolidate and the search for profitability accelerates, some firms may be considering going self-clearing, analysts and industry executives say. mark for My Articles similar articles
Investment Advisor
June 2006
Kathleen M. McBride
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. mark for My Articles similar articles
Registered Rep.
February 7, 2012
Diana Britton
Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable. 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 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
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
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
Registered Rep.
January 1, 2008
Independent Advisor Services, LPL Bill Dwyer President A conversation with Bill Dwyer, President of LPL Financial Services in San Diego, California, a financial services firm with $231.8 billion in client assets under management. 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
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
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 8, 2007
Halah Touryalai
LPL's Got `Bank.' What's Next? An IPO? LPL's acquisition last week of three Pacific Life Insurance Company b/ds was just one more step in its quest for a successful sale of the company -- or an initial public offering. mark for My Articles similar articles
Financial Advisor
June 2010
Jeff Schlegel
Who's Your Market? Some broker-dealers have niches that set them apart. mark for My Articles similar articles
Registered Rep.
February 7, 2012
Diana Britton
LPL Posts Record Revenue For Year, Despite Volatility While other firms suffered in the fourth quarter on slow client activity, LPL Financial announced earnings today of $39.4 million for the quarter, up $156 million from a net loss of $116.6 million in the fourth quarter 2010. mark for My Articles similar articles
Investment Advisor
March 2006
Melanie Waddell
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable. mark for My Articles similar articles
Registered Rep.
March 31, 2015
Diana Britton
Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question. mark for My Articles similar articles
Registered Rep.
September 1, 2010
Halah Touryalai
Outgrowing the SERIES 7 There is a coveted cohort of dually registered advisors who are dropping their Series 7 licenses and leaving their b/ds behind. mark for My Articles similar articles
Investment Advisor
May 2006
Kathleen M. McBride
B/D Briefing: Pick Three In a recent reader survey, when asked where reps would go if they were to consider moving to another B/D, three firms were consistently mentioned: Commonwealth Financial Network, LPL Financial Services and Raymond James Financial Services. Here's why. mark for My Articles similar articles