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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 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 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
June 2009
James J. Green |
Leadership In volatile times, communication and culture are broker/dealer leaders' touchstones. |
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. |
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
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.
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
Robert F. Keane |
The Investment Center If keeping your representatives satisfied is the name of the game for broker/dealers, then it's no surprise that Ralph DeVito and The Investment Center are the winning team in Division II this year. |
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
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. |
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
January 2006
Kathleen M. McBride |
Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients. |
Registered Rep.
November 1, 2006
Cheryl Winokur Munk |
The Heretic Kenneth Fisher, a global money manager and longtime Forbes columnist, is a proponent of the closed shop: He runs discretionary separate accounts for institutions and high-net-worth retail investors. Fisher farms out nothing. |
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. |
Registered Rep.
May 27, 2015
Debbie Carlson |
REITs and Rates Some investors see the recent falloff in REITs -- down 1.43 percent year-to-date, and down 5.9 percent in April alone, according to the MSCI U.S. REIT index -- as a natural retrenchment. |
Investment Advisor
June 2008
McBride & Roberts |
The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today. |
Registered Rep.
April 28, 2003
David A. Gaffen |
Wachovia's Banking Unit Has New Deal for Reps Wachovia Securities, which offers reps several different affiliation levels, has predictably come up with a recruiting deal that has several different plans reps can choose from. This particular deal is only for those reps applying to work in the bank branches. |
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. |
On Wall Street
November 1, 2011
Elizabeth Wine |
The Best Game In Town? Experts say real estate, in the form of real estate investment trusts, could be the counterintuitive bright spot over the next year. |
Registered Rep.
February 1, 2006
Jennifer Popovec |
Getting Real About Real Estate Savvy retail advisors are moving their clients beyond listed REITs and into nontraditional real estate investments like "private" REITs and tenant-in-common programs (TICs), which, because they don't trade, aren't volatile and offer attractive yields. |
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.
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
June 2010
Jeff Schlegel |
Who's Your Market? Some broker-dealers have niches that set them apart. |
Investment Advisor
June 2008 |
Changes People: Jeff Montgomery joins Al Frank Asset Management as CEO... Joby Gruber resigns FSC Securities and Advantage Capital and Larry Roth takes over his positions... Jeff Auld has resigned Berthel Fisher & Co... Gary Diffendaffer... Angela Biever... |
The Motley Fool
April 19, 2010
Jennifer Schonberger |
optionsXpress CEO on the Year Ahead optionsXpress CEO David Fisher says that his company is on track as options trading gets bigger. |
Financial Advisor
December 2009
Raymond Fazzi |
A Sleeping Giant Green buildings save money on energy and other operating costs. Observers believe more such projects -- and possibly even green REITs -- will begin popping up once real estate recovers. |
Registered Rep.
August 24, 2012
Diana Britton |
The New Velvet Rope? B/D Admissions Down Dramatically It's become increasingly difficult for small broker/dealers to break into the business, as regulations increase. |
Registered Rep.
October 1, 2006
Janet Arrowood |
Protect Your Clients, Protect Yourself If registered reps don't sell their clients life insurance, someone else will -- and that's a risk reps probably shouldn't take. At least, that's one conclusion that can be drawn from the results of two separate studies. |
Investment Advisor
September 2006 |
B/d Briefing: News & Products The SEC issued an RFP for phase one of a major study of how regulators' rules for investment professionals affect ordinary investors... NYSE wants to expedite arbitration proceedings in cases of up to $200,000... etc. |
Real Estate Portfolio
Jan/Feb 2007
Jada A. Graves |
The 2007 Landscape Here's five industry pros' take on the outlook for REITs in 2007. |
Real Estate Portfolio
Jan/Feb 2005
Matthew Bechard |
New Year, Same Results? It is fundamental market logic that every sector that outperforms eventually reverts to the norm. But will 2005 be the year it happens to listed REITs? |
On Wall Street
May 1, 2012
Dave Lindorff |
REITs: Looking Sweet on the Balance Sheet Amid the economic wreckage, many Real Estate Investment Trusts have managed to perform quite well, and in some cases have turned in stellar performances, particularly in the last two years. |
Registered Rep.
February 17, 2012
Jennifer Popovec |
Commercial Mortgage REITs: Less Risk, Same Reward? A new crop of commercial mortgage REITs emerging today may be less risky investments compared to the legacy commercial mortgage REITs that operated during the most recent real estate boom, argue some industry experts. |
Registered Rep.
June 1, 2005
John Churchill |
Wall Street's Big Curtain Call How baby boomer brokers move into retirement over the next 10 to 15 years will change the face of the industry in many ways. |
On Wall Street
March 1, 2012
Dave Lindorff |
The Rich Rush to REITS One thing you can say about the 1%: They know a bargain when they see one. |
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. |
Real Estate Portfolio
Nov/Dec 2008
Dees Stribling |
Navigating the Credit Crisis So far, for the majority of REITs, the impact of the credit crisis hasn't been too adverse. |
Real Estate Portfolio
Nov/Dec 2004
Michael Fickes |
State of the Industry The publicly traded real estate industry has weathered the first economic recession of the modern REIT era. |
Real Estate Portfolio
Jan/Feb 2004
Christopher M. Wright |
Q&A with Tom Robinson The managing director and co-head of real estate investment banking at Legg Mason Wood Walker shares his thoughts on the capital markets and the real estate industry as a whole. |
Financial Planning
June 1, 2007
Elizabeth O'Brien |
FP50: Small Wonders Smaller broker-dealers vow to retain their personalized service as they pursue ambitious goals. |
