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Investment Advisor
August 2009
James J. Green |
Broker/Dealer Briefing: Fidelity Enhances Broker Workstation Fidelity's National Financial unit announced enhancements to its Streetscape brokerage platform, including the addition of Thomson One wealth management applications.   |
Financial Advisor
June 2008 |
Advisor Emporium News: National Financial Launches Self-Clearing Unit... Payden & Rygel Create Equity Fund... Phoenix Creates Low-Cost Annuity... Russell Launches New Fund For Retirees... Wasatch Advisors Re-opens Popular Funds... ALPS Launches New Insurance Products... |
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. |
Investment Advisor
January 2008
Kathleen M. McBride |
Clearly Profitable It's an evolution revolution at the big clearing firms. |
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. |
Investment Advisor
July 2009
Jonathan Henschen |
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. |
Wall Street & Technology
March 19, 2007
Anthony Guerra |
WestLB Securities Inc. Looks to Outsource Back-Office Functions Without Giving Up Self-Clearing Status ADP will assume responsibility for WestLB Securities' back-office functions, such as clearing and custody, while allowing the firm to maintain self-clearing capability. |
Registered Rep.
March 1, 2008 |
A Matter Of Trust What are the biggest hurdles that clearing and custody firms will face in the coming year?... Why did LPL go self-clearing, and will other b/ds follow?... |
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
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. |
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 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. |
Investment Advisor
September 2008
Philip Palaveev |
B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong. |
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 2009
James J. Green |
What Representatives Wish For Representatives tell what products or services they wish their current broker/dealers offered, but don't. |
Investment Advisor
December 2009 |
Broker/Dealer News New developments at Raymond James, LPL Financial, and Broadridge Financial Solutions. |
Registered Rep.
June 7, 2011
Diana Britton |
Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing. |
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
April 2007
James J. Green |
Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers. |
Wall Street & Technology
November 17, 2003
Anthony Guerra |
Buy-Side Bashing in Singapore Forgetting that the customer is always right, broker/dealers and custodians made asset managers the pinatas at Swift's annual Sibos conference. |
Registered Rep.
March 1, 2007
Christopher O'Leary |
Meet the New Davids Smaller clearing houses have an advantage in that they promise to keep out of any business that would directly challenge its client's own products and to stick to a core set of services that includes securities lending, custody/clearing and order-management systems. |
Financial Advisor
July 2006
Raymond Fazzi |
They've Got Your Back To win financial advisors' business, custodians are offering to take over the back-office grunt work. |
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. |
Registered Rep.
February 2, 2006
Kristen French |
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. |
Registered Rep.
May 24, 2006
Kristen French |
Broker Sanctioned for Violation of Patriot Act After nearly a year and a half since the law's passage and after over a dozen brokerage firm audits, the SEC took its first enforcement action against a broker/dealer. Yet, in so doing, the SEC noted that broker/dealers are generally doing a very good job of complying. |
The Motley Fool
September 9, 2011
Dan Caplinger |
What You Really Need From Your Broker Don't obsess about the wrong things. Stick with what's important. |
OCC Bulletin
September 5, 2002 |
Investment Portfolio Credit Risks: Safekeeping Arrangements This guidance alerts banks to the potentially significant credit risks they incur when safekeeping investment portfolio assets with third parties, such as brokers, broker/dealer firms and banks. |
Bank Technology News
December 2004
Holly Sraeel |
Outsourcing Gets a Closer Look. But is It Different? The strategic value of outsourcing has always been the source of some debate in banking. The question is, "Is it different than in years past?" Good question, and the answer depends on the size of institution. |
Financial Planning
November 1, 2005
Robert Hertzberg |
The Case for Self-Clearing Linsco/Private Ledger, the biggest independent broker-dealer, says it now offers better service to advisers and has an easier time rolling out new products. |
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 |
Registered Rep.
March 1, 2008
Christina Mucciolo |
What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm. |
The Motley Fool
March 17, 2009
Dan Caplinger |
A Surprising Way to Improve Your Investing When you're looking for a doctor or a lawyer, you focus not just on professional qualifications and expertise, but you also want someone who will fit well with your personality. The same holds true with picking a broker. |
The Motley Fool
May 25, 2010
Dan Caplinger |
Be the Best Investor You Can Be The right broker can make all the difference. |
The Motley Fool
May 20, 2004
Tim Beyers |
American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest? |
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. |
IndustryWeek
April 21, 2010
Jill Jusko |
Avoid Outsourcing Headaches Open communication sets the stage for a more successful outsourcing relationship. |
Registered Rep.
December 1, 2004
Mindy Diamond |
Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice. |
Wall Street & Technology
December 28, 2009
Michael Lobosco |
Evaluating Outsourcing Options The technology and capabilities of outsourced portfolio management systems offer functionality that is comparable to their installed counterparts. But not all outsourced solutions are created equal. |
The Motley Fool
October 20, 2008
John Rosevear |
The Right Broker for Right Now Many who trusted a professional to guide them through the ups and downs of the markets are opening their statements or logging in now and seeing huge losses -- half or more of their portfolios, in many cases. So who is the right broker for now? |
CRM
February 2, 2004
Ginger Conlon |
The Great Outsourcing Debate The debate has its own benefit, that of providing information and opinion on both sides that could help companies decide what's right. |
The Motley Fool
February 25, 2009
Dan Caplinger |
Start Investing and Earn an Extra Bonus If you're looking for a new broker in today's sophisticated financial world, you really should think about finding one with bells and whistles that open up a range of investments. |
The Motley Fool
October 27, 2009
Dan Caplinger |
How You Can Become the Next Super-Investor Get the tools you need to succeed with your investments. |
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. |
Registered Rep.
November 1, 2002
David A. Geracioti |
Looking for Work -- On the QT Are you a broker looking for a job, but afraid you'll be found out? A new Web site, privateclientpro.net, provides a fast, anonymous and comprehensive listing of opportunities. |
The Motley Fool
February 19, 2004
Dayana Yochim |
Come Trade With Me Brokers want your business and a few are casting out some interesting bait, but is it worth it? |
Registered Rep.
January 1, 2005
Mindy Diamond |
A Clean Escape, With an Accomplice Brokers tempted to leap at a lucrative job at another firm are often held back by inertia, but in increasing numbers they are finding the powerful force they need to get moving: hungry branch managers. |
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. |
The Motley Fool
December 22, 2004
Selena Maranjian |
Should You Switch Brokers? The brokerage you're using may not best serve your needs. |
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. |
The Motley Fool
May 11, 2011
John Rosevear |
This Investing Decision Can Cost You Big Choosing the wrong brokerage can be a costly mistake. |
