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Investment Advisor June 2009 Elizabeth D. Festa	When Less Is More It appears that the best broker/dealers limit the number of investment vehicles on their approved list.
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 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.
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 Angela Herbers	Beyond the Numbers By increasing the level of service and the effectiveness of our financial advisory firm operations, we add value to the products and services we offer.
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.
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.
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.
Financial Advisor March 2006 Tracey Longo	The Three Es Here are three ways to create an Efficient, Effective & Expedient financial advisory firm.
Investment Advisor October 2007 Julie Littlechild	Got a Minute? A big study finds that the best financial advisors are efficient in two different ways.
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. December 8, 2015	2015 Broker Report Card: How National Brokerage Firms Stack Up REP.'s 25th annual Broker Report Card is the survey that lets advisors from the six major national brokerages rate their employers across a range of factors
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 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.
Financial Advisor June 2009 Joel P. Bruckenstein	Stepping It Up Broker-dealers are enhancing the technology they offer to advisors.
Investment Advisor June 2007 Lauren Barack	Streamlining Broker/dealers are aiming for a one-click model for their technology platforms.
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 April 2007 James J. Green	Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers.
Investment Advisor December 2007 Angela Herbers	Bottom Up Broker/dealer recruiting is largely a zero sum game. Here is why it more advantageous for B/Ds to help their existing advisors.
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.
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.
Registered Rep. December 2, 2014	Best of the Best 2014 Unlike many of our competitors, we are as transparent as possible about our criteria and methodology when publishing a ranking.
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.
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.
Investment Advisor September 2008 Melanie Waddell	Striking While the Iron Is Hot Under the direction of Ron Fiske, Fidelity's HybridOne platform aims to serve the booming dually registered market.
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...
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.
Financial Advisor July 2007 Tracey Longo	The Big Picture Clearing firms stake their future on helping financial advisors' businesses grow.
Registered Rep. March 31, 2015 Megan Leonhardt	The Increasingly Happy Broker Generally speaking, the smaller the firm, the happier the broker, according to our fifth Independent Broker/Dealer Report Card survey.
Investment Advisor September 2005	Fantastic 5 This year's winning broker/dealers of the year reveal some of the machinery behind the success: Division I -- Geneos Wealth Management... Division II -- Brecek & Young Advisors... etc.
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 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 2009 Melanie Waddell	Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
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 March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Investment Advisor January 2007 Kathleen M. McBride	Symbiotic Relationships When broker/dealers select a clearing firm to partner with, it pays to be choosy. Clearing firms innovate to help correspondents thrive.
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.
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 June 2008 McBride & Roberts	The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today.
Investment Advisor June 2010 Marlene Y. Satter	Tenacity The financial crisis gave independent B/Ds a drubbing from which they've yet to fully recover, according to the IA 2010 broker/dealer survey.
Investment Advisor January 2008 Kathleen M. McBride	Clearly Profitable It's an evolution revolution at the big clearing firms.
Investment Advisor May 2006 Kathleen M. McBride	B/D Briefing: Pick Three In a recent reader survey, when asked where reps would go if they were to consider moving to another B/D, three firms were consistently mentioned: Commonwealth Financial Network, LPL Financial Services and Raymond James Financial Services. Here's why.
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.
Financial Planning November 1, 2008 Michael A. Bell	Time Is Money When asked what their greatest challenge is, virtually all advisors say it's not product complexity -- or even the regulatory landscape -- that causes the most stress. It's lack of time.
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.
Investment Advisor September 2006 Lauren Barack	Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility.
Investment Advisor October 2008	News & Products, October 2008 The SEC announces an enforcement action against LPL Financial Corp... ING Advisors Network announced a reorganization... Ameriprise Financial has signed an agreement to acquire H&R Block Financial Advisors... etc.
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. February 7, 2012 Kristen French	More Advisors Wearing Investment Management Hat Financial advisors at broker/dealers are increasingly taking the reins on their clients' fee-based accounts, according to a report out from Cerulli Associates today.