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Registered Rep.
January 1, 2008 |
Securities America Steve McWhorter CEO A conversation with Steve McWhorter, CEO of Securities America, a financial services firm in LaVista, Nebraska, with 1,750 registered representatives.   |
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.
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. |
Registered Rep.
January 1, 2008 |
Cadaret, Grant Arthur F. Grant, President and CEO A conversation with Arthur F. Grant, President of Cadaret, Grant, in Syracuse, New York, an advisory firm with $18.5 billion under management. |
Registered Rep.
January 1, 2008 |
Mutual Service Corporation J. Andrew Kalbaugh CEO A conversation with J. Andrew Kalbaugh, CEO of Mutual Service Corporation, a financial services firm in West Palm Beach, Florida, with $6.3 billion in clients assets under management. |
Registered Rep.
April 1, 2008 |
Raymond James Financial Services A conversation with Dick Averitt, chairman and CEO of Raymond James Financial Services in St. Petersburg, Florida. |
Registered Rep.
April 1, 2008 |
Wachovia Securities Financial Network A conversation with John Peluso, head of Wachovia Securities Financial Network, in St. Louis, Missouri. |
Investment Advisor
January 2010
James J. Green |
B/D Briefing: Alignment Time A short interview with Patrick McEvoy, CEO of Woodbury Financial, a 1,700-rep independent broker/dealer. |
Registered Rep.
April 1, 2008
David A. Geracioti |
Joseph Duran A conversation with Joseph Duran, about his firm, United Capital, a national wealth-management firm that purchases regional registered investment advisor firms. |
Registered Rep.
May 1, 2005 |
60 Seconds With David Monday Wachovia Securities' new Individual Investor Group leader talks about his plans for the new division. |
Registered Rep.
November 1, 2006
Susan Konig |
A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules. |
Registered Rep.
March 1, 2007 |
The Process How can an advisor be sure to find a new independent b/d that is the right fit? With so many firms to choose from, how can a rep begin to narrow down his search? |
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
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. |
Financial Advisor
April 2009
David Lawrence |
Migratory Patterns Advisors who want to move to the independent world should spend a lot of time planning the transition. |
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 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. |
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
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. |
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.
March 1, 2007 |
Cold Call: Mark Hall The ideal client is (in three words)... The ideal financial advisor is... You've partnered with three local community banks to help grow your client base. What is toughest about this model?... etc. |
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.
May 10, 2011
Diana Britton |
60 Seconds with Motley Fool's Bill Mann Bill Mann explains how Motley Fool markets to advisors and how they select stocks for their funds. |
Financial Planning
June 1, 2007
Marshall Eckblad |
FP50: Behind the Numbers Revenues among the top 50 broker-dealers soared, costs fell and reps took home more money than ever. But the biggest winners in this year's survey were fee-based products. |
Financial Advisor
January 2007
Tracey Longo |
Allure Of Independence Remains Bright Independent broker-dealers step up their recruiting efforts among reps and the already liberated. |
Registered Rep.
November 1, 2007 |
Practice Makes Perfect Many independent broker/dealers are shifting their drive for growth inward, developing programs to help advisors build their businesses, as well as attracting new talent with incentives such as sign-on bonuses. |
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.
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. |
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. |
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. |
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. |
Investment Advisor
August 2005
Mark Tibergien |
Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers. |
Registered Rep.
January 1, 2006
Kristen French |
What's in a Name? Financial advisor is the name most of the other wirehouses use for their registered reps these days. It reflects the industry's attempts to transform its reps from commission-based stock jockeys to fee-based relationship managers. |
Registered Rep.
June 1, 2007 |
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts? |
Registered Rep.
November 1, 2005
Christopher O'Leary |
Creating an Escape Plan Independence has long been a dream of many wirehouse reps. But for the great majority of wirehouse pros, it remains simply that. Going independent is a proposition fraught with peril and is not to be taken lightly. |
Registered Rep.
November 1, 2006
Christopher O'Leary |
Bust a Move...Cleanly Many registered reps have learned that the process of leaving a big firm can turn into a long, painful, litigious and even terrifying ordeal. From the moment you decide to leave a wirehouse, every move you make needs to be right. |
Investment Advisor
September 2008
Eric Schwartz |
B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future. |
Registered Rep.
November 1, 2006
Halah Touryalai |
The Indie Man An interview with John Simmers, CEO of ING Advisors Network, about his multiple duties, including issues facing his firm and others like it, as well as recent attacks on the NASD's credibility as a voice for small firms. |
Registered Rep.
June 1, 2007 |
All About the Benjamins Reps say the darndest things. |
Registered Rep.
July 14, 2009
Halah Touryalai |
Financial Advisor Switching Firms Jumps in June June was a busy month for financial advisors on the move. The number of advisors switching firms jumped 45 percent in June versus May, according to Discovery Database. |
Registered Rep.
October 1, 2006
John Churchill |
Mission USA UBS, with a strong brand name among the wealthy in Europe and Asia, continues to try to stoke some brand awareness among the wealthy here in the U.S. |
Registered Rep.
May 1, 2008 |
Timothy Halls A conversation with Timothy Halls, of the Moneta Group in Clayton, Missouri. |
Registered Rep.
March 23, 2012
Diana Britton |
Amid Hartford Split, Woodbury's 1,600 Reps Face Tough Choice The Hartford announced plans to sell its life insurance and retirement businesses, as well as Woodbury Financial Services, the firm's independent broker/dealer, leaving Woodbury's 1,600 reps faced with the tough choice: Find another broker/dealer or stick around and see who the new owners will be. |
Registered Rep.
February 1, 2006
Kristen French |
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so. |
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.
March 1, 2008
John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated. |
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. |
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. |
Registered Rep.
June 1, 2006
Kristen French |
60 Seconds with Tom Bradley In this interview, the president of the Institutional division of TD Ameritrade talks about his opinion of the new broker/dealer exemption. |
