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Investment Advisor September 2009	Broker/Dealer of the Year, Division II Quick company stats of The Investment Center.
Investment Advisor September 2009 James J. Green	How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating.
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 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 October 2008 James J. Green	Is Consolidation Finally Here? Several recent deals for mid-sized independent broker/dealers raises the question.
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.
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 2005	Fantastic 5 This year's winning broker/dealers of the year reveal some of the machinery behind the success: Division I -- Geneos Wealth Management... Division II -- Brecek & Young Advisors... etc.
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 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. 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.
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 June 2009 James J. Green	Leadership In volatile times, communication and culture are broker/dealer leaders' touchstones.
Registered Rep. December 16, 2009 Halah Touryalai	Wirehouse Switching Slows in Second Half of 2009 In November, just 177 advisors in the wirehouse channel switched firms, the smallest monthly number all year, according to Discovery Database.
Investment Advisor January 2006 Jonathan Henschen	How to: Producer Group A producer group can extend the reach -- and profitability -- of a financial advisor's practice. However, not all producer groups are created equal.
Registered Rep. April 1, 2008	Meet the Indies Choosing an independent broker/dealer to join isn't easy. We speak with five heads of independent broker/dealers about their businesses, an why you should join them.
Registered Rep. April 29, 2009 Halah Touryalai	Wirehouse Advisors Switch Firms in March The number of reps switching broker/dealers during the month was up 34 percent versus the number who switched in February.
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.
Registered Rep. January 6, 2010 Halah Touryalai	Wirehouse FAs Switching B/Ds Slows The number of wirehouse advisors switching broker/dealers has been in steep decline since June.
Registered Rep. December 1, 2005 John Churchill	UBS: You Against Us? According to rank-and-file reps surveyed, UBS brass did a lot of things right this year and can take a bow -- and then quickly straighten up and fix the rest of what reps say is still ailing the firm.
Investment Advisor June 2008 Jonathan Henschen	Transfer Time For advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it's time for a reality check.
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. 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 September 2009 James J. Green	Where Representatives Would Go This year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate.
Registered Rep. December 11, 2003 David A. Gaffen	Smith Barney Changes Payout Grid Smith Barney is altering its compensation system for 2004, with the main goal being to simplify its payouts and make them more product-neutral.
Investment Advisor September 2007 Kathleen M. McBride	Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities.
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.
Investment Advisor June 2010 Thomas D. Giachetti	Independence's Issues There are four main challenges faced these days by independent broker/dealers.
Investment Advisor September 2009	Broker/Dealer of the Year, Division IV Quick company stats of Woodbury FInancial Services.
Investment Advisor January 2008 Kathleen M. McBride	Clearly Profitable It's an evolution revolution at the big clearing firms.
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
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.
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.
Registered Rep. September 13, 2010 Susan Konig	Wirehouse Recruiting Stalls, Deals Keep Rising but Fewer Advisors Moving These days there are a lot more strings attached to recruiting packages and in the current market they're not great for brokers or firms.
Registered Rep. June 1, 2007	All About the Benjamins Reps say the darndest things.
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.
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.
Registered Rep. March 1, 2007	The Upstarts There are some upstart custody/clearing firms who are winning business from the behemoths.
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.
Entrepreneur May 2006 Kimberly L. McCall	The Price Is Right Advice on winning the price wars.
Registered Rep. February 21, 2007 John Churchill	Smith Barney Comp Pleasant Surprise Judging from initial reports from reps, the written version of the new plan is an improvement from the prior version -- a plan many reps equated to a pay cut despite the firm's insistence that it was "revenue neutral."
Investment Advisor August 2010 Thomas D. Giachetti	The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements.
Investment Advisor June 2008 Philip Palaveev	The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive.
Registered Rep. October 1, 2004 Will Leitch	The Rep's Ugly Friend As the industry continues its inexorable march toward "wealth management," advisors have had to add new tools to their workbenches. Among all of them, reps seem to have the most trouble getting comfortable with life insurance.
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.
Investment Advisor October 2009 Melanie Waddell	B/Ds Warned on Recruiting SEC Chairman Mary Schapiro sent a letter to broker/dealer CEOs, reminding them of their supervisory obligations under federal securities laws.
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.
Registered Rep. November 1, 2006 John Churchill	A.G.E. to Catch a Rep Instead of buying brokers like its peers with offers of big upfront forgivable loans, A.G. Edwards is offering its own reps bonuses for successfully recruiting good reps.
Registered Rep. November 1, 2005 John Churchill	The Money Squeeze There's one thing that stands between the big retail brokerage firms and the high profit margins that the executives of these firms and their investors seek: the financial advisor.
Investment Advisor July 2006 Kathleen M. McBride	B/d Briefing: Two Faces of Wall Street Few financial professionals expect to work a 40-hour week on Wall Street. So it was surprising to see the extent of rep participation in class-action lawsuits over broker overtime, and the astounding settlements that have been awarded.