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Financial Advisor
January 2011
Bruce W. Fraser |
Crafting A Comeback With new leadership at its parent AIG, Advisor Group's trio of broker-dealers venture forth on the road to recovery.   |
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
October 1, 2009
Paul Menchaca |
AIG Advisor Group: They're Back Larry Roth maintains that a large, diversified insurance-based financial services company remains a great environment in which to grow a broker-dealer. |
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. |
Financial Planning
November 1, 2010
Paul Menchaca |
Turning the Page The extent to which the AIG brand is tainted remains unknown. Is it permanently damaged, or will Americans eventually forgive, if not forget? Are advisors still wary of the AIG affiliation? |
Registered Rep.
March 29, 2011
Diana Britton |
President of FSC Resigns Suddenly Mark Schlafly, president and CEO of FSC Securities, has suddenly resigned from his position at the AIG Advisor Group broker-dealer because of a family medical emergency. |
Financial Planning
May 1, 2010
Paul Menchaca |
Royal's Big Deal When Rehmann Financial announced in March that it was moving roughly $2.5 billion in client assets to Royal Alliance, it marked more than just a significant business pickup for the New York City-based broker-dealer. |
Investment Advisor
April 1, 2011
John Sullivan |
Catching Up With ... Jeff Auld Talk about trial by fire; Jeff Auld left Berthel Fisher Financial Services to head what was then AIG Financial Advisors in July 2008. He is now looking to the future of the rebranded and revitalized SagePoint Financial. |
Investment Advisor
October 2007
Kara P. Stapleton |
News & Products, October 2007 FINRA fines AXA Advisors for "failing to adequately supervise its fee-based brokerage business"... AIG announces organizational changes... Commonwealth Financial Network provides advisors with Estate Planning Blueprint... etc. |
Registered Rep.
April 1, 2009
Halah Touryalai |
No Buyers--Still--For AIG-owned B/Ds AIG announced its plan to sell its independent broker/dealers back around October 2008. Six months later, nothing has changed except that reps we spoke to are even more frustrated. Some say they are ready to bolt. |
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. |
Registered Rep.
September 15, 2008 |
AIG Stays Afloat -- For Now The firm has been allowed to lend itself $20 billion for daily operations by borrowing against its own assets. In the meantime, the Fed has hired Morgan Stanley to help it assess its options for keeping AIG afloat. |
Investment Advisor
August 2008 |
Changes Mark Schlafly named president and CEO of FSC Securities and Advantage Capital Corp... Jeff Auld named president and CEO of AIG Financial Advisors... Ted Mathas is now the CEO of New York Life Insurance Company... Three new SEC commissioner nominees... |
Registered Rep.
March 6, 2012
Diana Britton |
Advisor Group Looking to Buy Mid-Sized B/Ds, Large OSJs AIG Advisor Group is in talks with a few mid-sized broker/dealers and larger offices of supervisory jurisdiction, and hopes to make one or more acquisitions in the near future. |
Financial Advisor
June 2007
Sherri Scordo |
Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc. |
Registered Rep.
October 28, 2008
Halah Touryalai |
AIG B/Ds Looking for a New Home. Any Takers? Now that its parent has announced plans to sell off portions of itself, the AIG Advisor Group is looking for a new home. |
Financial Advisor
January 2006
Tracey Longo |
Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee. |
Financial Advisor
August 2005
Tracey Longo |
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors. |
Registered Rep.
November 1, 2007
Erik Kolb |
Recruits In The Driver's Seat Recruiting in the independent broker/dealer business has reached a fever pitch. Firms have responded with recruiting incentives such as deferred compensation, transition financing, practice-management help, and sign-on bonuses. |
Financial Planning
June 1, 2013
Ann Marsh |
FP50: Big IBDs Hit a Speed Bump Is the boom over? After years of double-digit growth, independent broker-dealers hit a rough patch in 2012. We report from the front lines of the FP50. |
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 Planning
June 1, 2008
Stacy Shultz |
Lookin' Good, Broker Dealers As baby boomers approach retirement, some believe there could be no better time to be in the financial services industry. |
Financial Advisor
January 2005
Tracey Longo |
How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions. |
Registered Rep.
September 17, 2008 |
AIG Saved; Biz As Usual For Its B/Ds The government bailed out AIG from near failure with a two-year loan of $85 million in exchange for a nearly 80-percent stake in the company. |
Financial Planning
June 1, 2008
Donald Jay Korn |
All Systems Go Clients and income hold steady in the financial services industry. |
Financial Advisor
June 2010
Jeff Schlegel |
Who's Your Market? Some broker-dealers have niches that set them apart. |
Registered Rep.
July 29, 2009
Halah Touryalai |
AIG Advisor Group Sale Is Close The AIG Advisor Group may finally have found a buyer after nine months of operating in limbo. |
Financial Advisor
July 2004
Tracey Longo |
Clearing Firms Come Courting With clearing industry players so clearly targeting advisors, competition for advisor business is likely to get even more interesting very soon. |
Registered Rep.
July 12, 2010
Christina Mucciolo |
The Rise of the Super OSJ It's a great time to be a Super OSJ -- the extra large offices of supervisory jurisdiction, or independent b/d branches that both supervise and provide consulting and business services to other independent advisors for a fee. |
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. |
Financial Advisor
March 2006
Tracey Longo |
The Three Es Here are three ways to create an Efficient, Effective & Expedient financial advisory firm. |
Financial Planning
November 1, 2008
Stacy Schultz |
Key to Happiness The key to an advisor's happiness is support, at least for the independent advisor. |
Registered Rep.
March 8, 2011
Diana Britton |
IBDs Dress Up Offerings For Hybrids Independent broker-dealers have lately been ramping up their efforts to attract hybrid advisors. |
Financial Advisor
April 2005
Tracey Longo |
Winning Over Wirehouse Brokers AIG's transition suites help brokers become independent. |
Financial Advisor
August 2006
Tracey Longo |
Late Summer Recruiting While the recruiting party will get tougher some day for broker-dealers who cater to independent advisors and reps, for now they are enjoying their competitive advantage: They give brokers and advisors who want to own their own business the chance to do that. |
Financial Advisor
November 2008 |
Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc. |
Financial Planning
June 1, 2009
Paul Menchaca |
Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound. |
Financial Advisor
August 2012
Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers. |
Financial Advisor
November 2009
Evan Simonoff |
The Client Paradox For advisors, it's one thing to sense an opportunity. But when you are going through as much emotional stress as most have, it requires a great deal of intestinal fortitude to go out and try to capitalize on it. |
Financial Planning
June 1, 2008
Philip Palaveev |
Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship. |
Financial Advisor
May 2004
Raymond Fazzi |
Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding. |
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. |
Financial Advisor
November 2008
Gail Liberman |
War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms. |
On Wall Street
November 1, 2011
Elizabeth Wine |
The Unfaithful Client Cheating on a financial advisor is a known, but frowned-upon client practice. But new research says that it has been gaining traction among high-net-worth households since the market turmoil began in 2008, with many clients bolstering their stable of advisors. |
Financial Planning
January 1, 2011
Jonathan Beatty |
Joining Forces Does your firm have the human resources infrastructure to recruit and integrate a new advisor or team of advisors? |
Registered Rep.
December 7, 2011
Philip Palaveev |
The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts. |
Financial Advisor
August 2004
Sydney LeBlanc |
Independent Broker-Dealers Improving SMA Programs Historically, independent advisors have been forced to sit on the sidelines while wirehouses led the way in products and technology for separately managed accounts. Increasingly, things seem to be changing. |
Financial Planning
June 1, 2007
Kathy Gevlin |
Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction. |
Investment Advisor
September 2010
John Sullivan |
Broker/Dealer Briefing: News and Products News from Securities America, HighTower, AIG and more. |
Registered Rep.
September 16, 2008 |
AIG Needs Cash; Who Will Buy Its B/Ds? The $20 billion loan AIG was allowed to borrow against itself yesterday didn't have much of an impact after S&P, Moody's and Fitch cuts its credit ratings. |
