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Financial Advisor
June 2008
Tracey Longo |
Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner.   |
Registered Rep.
August 22, 2011
Diana Britton |
For First Allied FAs, Spin Out from Advanced Equities Is a Positive Independent broker/dealer First Allied Securities is spinning off from its parent Advanced Equities to focus more on its core business -- helping its 1,000 advisors grow their practices. |
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. |
Registered Rep.
March 8, 2012
Diana Britton |
Founders of Advanced Equities Slammed with Wells Notices Over Private Offerings The SEC sent the notices to Chairman Keith Daubenspeck and CEO Dwight Badger in January 2012, notifying them that the staff may take enforcement action related to a private offering in 2009. |
Registered Rep.
April 1, 2008 |
First Allied Securities A conversation with Keith Gregg, president and co-CEO of First Allied Services in San Diego, California. |
Registered Rep.
November 1, 2005
Kristen French |
A Shopping Allowance: The Newest Recruiting Tool In the competition for top financial advisors, broker/dealers are offering forgivable loans to advisors who want to purchase other financial advisory practices. |
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
March 2007
James J. Green |
Silver Lining Despite the silver lining benefits, the financial advisor community can't just react to regulators and legislators. It must be proactive. |
Investment Advisor
September 2007 |
Changes Commissioner Roel Campos of the SEC announced that he intends to leave the Commission... Keith Gregg has been named president and co-CEO of independent broker/dealer First Allied Securities... etc. |
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. |
Investment Advisor
August 2008
James J. Green |
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady |
Investment Advisor
January 2006
Melanie Waddell |
The Playing Field: Banking on Wealth Management The oldest baby boomers hit 60 next year, so now is as good a time as any to assess whether you're truly providing the wealth management services that your existing clients, and prospective ones, need. Help from a broker/dealer, consultant, or a colleague is well within your reach. |
Investment Advisor
February 2008
James J. Green |
Lessons From a Banker Investment Advisor meets with investment banker Nimi Natan, who specializes in putting together deals for smaller business owners looking to sell or merge their businesses. |
Financial Planning
October 2, 2007
Elizabeth O'Brien |
Do the Rich Enrich? Advisors chase high-net-worth clients, but some skeptics remain. |
Registered Rep.
October 28, 2010
Jerry Gleeson |
Ameriprise Profits Pop, Advisors More Productive Ameriprise's Advice and Wealth Management business is doing more with less: fewer advisors, higher revenue and profits. |
Investment Advisor
July 1, 2011
Jeff Joseph |
Extreme Networking: Adding High-Net-Worth Clients Becoming the sponsor and host of an entrepreneurial salon series is an effective networking and practice-building approach for wealth advisors who wish to expand their network of high- and ultra-high-net-worth investors. |
Financial Advisor
June 2007
Raymond Fazzi |
Follow The Money Broker-dealers sum up the future of advisory services in two words: rich folks. |
Registered Rep.
July 23, 2012
Diana Britton |
Virgin Banks Few community banks and credit unions offer wealth management services to their customers. But many of these firms are struggling and looking for new sources of income. Broker/dealers are finally tapping these untouched firms with revenue-sharing partnerships. |
Financial Advisor
August 2006
Hannah Shaw Grove |
Life Insurance And Wealth Management Helping client with life insurance is an important service of effective wealth managers. |
Registered Rep.
November 1, 2004
Will Leitch |
The Advisor as Traffic Cop As high-net-worth investors spread their assets around more liberally, they are finding themselves in need of a traffic cop -- a central advisor who can sit in the middle of all the financial activity and make sense of it all. |
Entrepreneur
September 2005
Nichole L. Torres |
Money Matters Answers to some important questions about who should, and shouldn't, be watching your money -- from Jack Waymire, author of Who's Watching Your Money? The 17 Paladin Principles for Selecting a Financial Advisor. |
Financial Planning
October 2, 2007
Suzanne McGee |
Higher and Higher Today, there are more than 9 million Americans with at least $1 million to invest. Even for the best-prepared and best-educated advisor, a time may come when they need to consider whether continuing to work with their ultra-affluent client is in the best interests of both parties. |
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. |
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. |
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. |
Registered Rep.
February 1, 2006
Russ Alan Prince |
Rep's Honor Here is how wealth management readily translates into additional assets under management for financial advisers and what they can do reach this target market. |
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. |
Financial Advisor
February 2007
Thomas M. Kostigen |
Firm Offers Reps Their Own Hedge Funds Independent broker-dealer First Allied's program raises questions about risk and conflicts. |
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. |
Financial Planning
September 1, 2007
Marshall Eckblad |
On the Job The Financial Planning Association in Denver has named attorney Daniel Barry as director of government relations... First Allied Securities in San Diego has hired Keith Gregg... Morningstar in Chicago appoints Kunal Kapoor as president of Investment Services division... etc. |
Registered Rep.
September 10, 2003
David A. Gaffen |
Existing Clients Want More Advice The good news for reps is that the world doesn't hate you. The bad news is that acquiring clients -- particularly affluent ones -- is getting a lot more tough. |
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 |
Registered Rep.
March 31, 2015
Diana Britton |
The Rare Prop Product In REP.'s fifth annual Independent Broker/Dealer Report Card, only 19 percent of 2,058 advisors surveyed said they sell in-house or proprietary products. |
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. |
| Registered Rep. |
The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014. |
Registered Rep.
August 26, 2014
Diana Britton |
The Evolution of RCAP Nicholas Schorsch, executive chairman of RCS Capital, made his initial foray into the independent broker/dealer space with his purchase of First Allied Securities and The Legend Group, with 1,500 advisors. Since then, Schorsch has been on an acquisition tear. |
Investment Advisor
March 2010
Lewis Schiff |
The Affluentialist: What Do Counselors Think About Clients? Advisors to wealthy families speak out about clients and careers. |
Registered Rep.
August 9, 2010
Susan Konig |
How One BOM Retains Top FAs The dizzying industry turmoil of the last few years has induced wirehouses to offer their top producers some of the largest retention packages ever. |
Registered Rep.
September 1, 2005
Grove & Prince |
Theory to Practice For many advisors, the evolution to wealth manager remains a matter of theory, not practice. Sure, they're calling themselves wealth managers, but they're still behaving like financial advisors. |
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. |
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
February 2007
Kathleen M. McBride |
A Matter of Life and Health For many advisors who are affiliated with independent broker/dealers and either running, or employed by, a small business, health insurance coverage can be expensive and sometimes elusive. That may be changing. |
Registered Rep.
November 22, 2010
Charles Paikert |
Fewer Small Accounts Mean More Production For Advisors: Study What's more, firms that more aggressively reduced small household concentrations among their advisors added approximately $45,000 per advisor in production. |
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
May 2006
Tracey Longo |
What Have You Done For Me Lately? The race is on among independent broker-dealers to recruit more top fee-based advisors. |
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. |
Registered Rep.
April 16, 2014
Mindy Diamond |
Outgrowing the IBD For advisors who are managing more than $500 million in client assets and are looking to build an enterprise, the independent broker/dealer model may have become too limiting for them. |
Registered Rep.
April 27, 2011
Diana Britton |
Poll: Do Recruiters Promise Too Much? A former Raymond James advisor recently filed suit against the broker/dealer claiming an internal recruiter misrepresented the support, technology and compensation the firm could deliver. |
Financial Planning
November 1, 2009
John J. Bowen Jr. |
Getting the Right Help Financial services firms aren't doing enough to support the transition to wealth management. |
Registered Rep.
August 23, 2009
Halah Touryalai |
AIG Advisor Group NOT For Sale, New CEO Says After almost a year of looking for the right buyer, AIG's broker/dealer reps were told that they would not be sold. |
