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Registered Rep.
March 1, 2006 |
60 Seconds With...Lon Dolber Dolber decided to launch his own firm, American Portfolios Financial Services. With outsourced technology and a focus on rep service, Dolber says, American Portfolios is the very model of a modern independent b/d.   |
Investment Advisor
April 2006
Andrew Gluck |
Your Best Partners More and more, financial advisors are using technology tools to offer additional services and become more efficient. |
Investment Advisor
June 2006
Green & Murphy |
Recruiting Wars: Freedom and Culture The underlying dilemma of independent broker/dealers and their reps -- interdependence versus independence -- is one of the main dynamics in play when it comes to recruiting reps. |
Investment Advisor
January 2008
Kathleen M. McBride |
Clearly Profitable It's an evolution revolution at the big clearing firms. |
Investment Advisor
September 2010
James Manouse |
IA Soapbox: B/D Marketing Departments Are Wrong A marketing department must help to make the affiliated rep the dominant rep in their local area. |
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. |
Investment Advisor
July 2008
James J. Green |
Further Integration at Fidelity Registered independent advisors and broker/dealer arms at Fidelity announce a joint program. |
Investment Advisor
March 2008
James J. Green |
Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever. |
Financial Planning
June 1, 2007
Elizabeth O'Brien |
FP50: Small Wonders Smaller broker-dealers vow to retain their personalized service as they pursue ambitious goals. |
Registered Rep.
September 1, 2004
Will Leitch |
For Advisors, 2003 Was a Better Year The fortunes of advisors took a turn for the better in 2003, according to the annual report from the Securities Industry Association. |
Financial Advisor
September 2009
Andrew Gluck |
Trimming The Sails Schwab Institutional and Albridge up the ante and upgrade their platforms to boost advisor efficiency. |
Financial Advisor
January 2004
Tracey Longo |
Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003. |
Registered Rep.
February 20, 2004 |
Extinct?: February's Cover Story Conferences were held to instruct reps in working as portfolio managers, and, in general, the improved technology made managing portfolios---and thus serving clients---a lot easier. |
Investment Advisor
October 2007
Kathleen M. McBride |
A Shot in the Dark When giving advice on investments as full-service reps do, what is that worth as opposed to taking orders for execution as discount brokers do? It has been difficult to analyze whether full-service representatives are getting paid what they are worth, relative to their peers. |
Investment Advisor
January 2006
Kathleen M. McBride |
Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients. |
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. |
Investment Advisor
January 2007
Kathleen M. McBride |
Symbiotic Relationships When broker/dealers select a clearing firm to partner with, it pays to be choosy. Clearing firms innovate to help correspondents thrive. |
Investment Advisor
October 2006
Kathleen M. McBride |
What Matters Most Results from a Broker/Dealer of the Year poll offer valuable tools for b/ds to see how they are doing, on average, among reps, and where there's room for improvement. |
Investment Advisor
September 2007
Robert F. Keane |
Know What Else I Could Use? For the most part, reps are pretty satisfied with the products and services that their B/Ds offer. |
Investment Advisor
September 2006
Melanie Waddell |
Next Financial Group Only seven years old, NEXT Financial has won broker/dealer of the year honors for the sixth year in a row, and did it in three different divisions as its rep force has grown. |
Investment Advisor
July 2007
Jonathan Henschen |
B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees... |
Investment Advisor
June 2007
Kathleen M. McBride |
Interesting Times Independent broker/dealers find opportunity in the face of changing winds. |
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. |
Financial Planning
July 1, 2006
David J. Drucker |
Fee-Based Confusion Cambridge, Commonwealth and Securities America aren't your father's broker-dealers. Although they count reps of all compensation stripes within their ranks, they're clearly leading the new generation to a more professional business model. |
Investment Advisor
September 2005
Melanie Waddell |
The Playing Field: The Image is All Important Document imaging is becoming a must-have technical solution for compliance-conscious financial 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. |
Financial Advisor
July 2006
Andrew Gluck |
The Gluck Report Albridge Solutions founder Louis C. Gerber is suing his former company, claiming venture-capitalist backers stole the company from him, with the assistance of the financial firm's CEO. |
Wall Street & Technology
March 2, 2004
Jessica Pallay |
Give Me a Break Breakpoints may give investors a break, but Wall Street's CIOs are working overtime to comply with regulators' wishes. |
Investment Advisor
April 2007
James J. Green |
Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers. |
Registered Rep.
October 1, 2005
Matt Barthel |
Insurance and the Generation Gap Reps historically have been reluctant to sell life insurance because of the steep learning curve associated with the products, and there is evidence that many still are hesitant to put forth the effort necessary to grasp the products' nuances. |
Registered Rep.
October 1, 2006
Janet Arrowood |
Protect Your Clients, Protect Yourself If registered reps don't sell their clients life insurance, someone else will -- and that's a risk reps probably shouldn't take. At least, that's one conclusion that can be drawn from the results of two separate studies. |
Financial Planning
June 1, 2005
Joshua Weinberger |
FP50: The CEOs Speak Executives from eight of the leading broker-dealers speak out about industry issues. |
Investment Advisor
September 2009
James J. Green |
Chosen: 2009 Broker/Dealers of the Year The firms given the highest ratings among their peers by their own reps in the 19th annual Broker/Dealer of the Year balloting. |
Registered Rep.
August 1, 2006
Kevin Burke |
Stay Wachovia's not the first firm to offer multiple affiliation options to its reps -- Raymond James has offered something similar for several years -- but it is the first wirehouse-type brokerage house to do so. Ultimately, the model could serve as a blueprint for the retail advisory business. |
Registered Rep.
August 1, 2005
Janet Arrowood |
The Great Insurance Race Given all the benefits that insurance can deliver to both registered reps and clients, an increasing number of reps are deciding it's worth the effort. |
Investment Advisor
September 2007
James J. Green |
Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment |
Investment Advisor
March 2009
James J. Green |
Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness. |
Investment Advisor
January 2006
Andrew Gluck |
The Gluck Report: Financial Planning's Future Financial planning software is better than ever. Here's a look at what the big four are up to: Financeware... Profiles+Professional... MoneyGuidePro... NaviPlan Extended... |
Registered Rep.
January 1, 2007 |
Insuring Your Future with Insurance? Insurance is an important component of wealth management, and too few reps have made the effort to fit it into client portfolios. Insurance is something you need to know how to use. |
Registered Rep.
June 1, 2005
Anne Field |
Ins and Outsourcing No-brainer decisions aren't what they used to be in the brokerage industry, and outsourcing is a case in point. Here are tips for ensuring an outsourcing arrangement fulfills its promise. |
Investment Advisor
September 2006 |
Woodbury Financial services Woodbury Financial is a big firm, with nearly 2,000 producing reps, and a big corporate parent in the form of The Hartford. But a simple comment on a Broker/Dealer of the Year ballot from one of Woodbury's reps was instructive on the firm's personal appeal to reps. |
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. |
Financial Advisor
February 2005 |
Advisor Emporium Securities America Offers New Portfolio Management Service... Principal Financial Adds Options to Health Savings Account (HSA) Plan... Pareto Systems Offers Customized CRM Platform... etc. |
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 |
Investment Advisor
June 2007
Savita Iyer |
Building Collaboration Reps of Securities America are thrilled with the company's new knowledge-sharing and peer support program, which makes use of the Internet so that reps can share their brain power with each other to enhance the business performance of their practices. |
Investment Advisor
September 2008
James J. Green |
You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions. |
Registered Rep.
March 1, 2008 |
How to Dance the Wall Street Shuffle There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition. |
Investment Advisor
September 2006
Robert F. Keane |
The Investment Center If keeping your representatives satisfied is the name of the game for broker/dealers, then it's no surprise that Ralph DeVito and The Investment Center are the winning team in Division II this year. |
Investment Advisor
June 2008
McBride & Roberts |
The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today. |
Financial Planning
June 1, 2010
Jeanne Lee |
Under Pressure Last month AFA Financial followed GunnAllen in shuttering its doors. Will more small independents close? |
