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Investment Advisor May 2008 Savita Iyer-Ahrestani	DIY Clearing, Made Easy Fidelity's National Financial promises to do what any other outsourcing vendor does: Save time and money for self-clearing broker/dealers so that they can focus on developing their core competencies.
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.
Registered Rep. June 3, 2011 Lauren Barack	LinkedFA Hooks Up with Reuters to Offer Members News LinkedFA, a free social network exclusively for financial advisors, insurance agents and the investors who want to work with them, has just inked a deal with Thomson Reuters.
Investment Advisor January 2008 Kathleen M. McBride	Clearly Profitable It's an evolution revolution at the big clearing firms.
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 July 2008 James J. Green	Further Integration at Fidelity Registered independent advisors and broker/dealer arms at Fidelity announce a joint program.
Registered Rep. April 2, 2010 Jerry Gleeson	Advisor Work Station Giants Roll Out Spring Upgrades Forget high-tech. What financial advisors are looking for in computer work stations these days is smooth tech, the ability to simplify the complex and sometimes mind-numbing tasks that are part of their daily lives.
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 May 2006 Murphy & Green	Breaking Away As the number of breakaway brokers continues to rise, broker/dealers and custodians have implemented programs designed to make the broker's transition to independence as seamless as possible.
Investment Advisor December 2005 Melanie Waddell	Breaking Away Brokers are finding it easier than ever to go independent, aided by custodians and other independent advisors.
The Motley Fool May 11, 2011 John Rosevear	This Investing Decision Can Cost You Big Choosing the wrong brokerage can be a costly mistake.
Investment Advisor May 2007	The Original SEC Rule The Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor even when they were being paid fees for investment advice.
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.
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.
Information Today September 24, 2013	Thomson Reuters Expands Risk Solutions Thomson Reuters' goal is to connect the global financial community using its Entity Risk suite of solutions.
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 October 2008 James J. Green	Is Consolidation Finally Here? Several recent deals for mid-sized independent broker/dealers raises the question.
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 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.
Registered Rep. March 1, 2006 Allen Plummer	The Tech Decision Matrix Independent contractors or registered investment advisor reps have tough decisions in choosing their back-office and tech solutions. Here's what they need to consider.
Information Today October 27, 2008	Thomson Reuters Launches Integrated Solution Suite With a single login, corporate professionals tasked with researching competitors or prospects, developing growth strategies, or managing financial performance can now access all the information, analytics, and tools they need.
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.
Registered Rep. February 20, 2004	Extinct?: February's Cover Story Conferences were held to instruct reps in working as portfolio managers, and, in general, the improved technology made managing portfolios---and thus serving clients---a lot easier.
Registered Rep. August 29, 2014 Diana Britton	One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers.
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 June 2009 James J. Green	Leadership In volatile times, communication and culture are broker/dealer leaders' touchstones.
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.
Investment Advisor March 2008 James J. Green	Fast Growing RIAs Tied to Breakaway Brokers A new study commissioned by Fidelity Investments of the fastest growing RIA firms found that firms that grew their assets under management by more than 100% over the past three years have a lot of common factors.
Registered Rep. February 23, 2010 Halah Touryalai	Clients, The New Breakaways First, there was the breakaway broker phenomenon; now, it seems, we have a growing vogue of breakaway clients -- former wirehouse investors who ditch their old advisors for new ones at independent RIAs or broker/dealers.
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. December 1, 2004 David A. Gaffen	Meet the New Boss, Different From the Old Boss November's news that Bob Mulholland was leaving Merrill Lynch wasn't entirely a surprise. He had been co-head of the 14,000-strong retail brokerage unit, but Merrill insiders figured all along that only one boss would prevail.
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.
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.
Registered Rep. December 1, 2004 David A. Gaffen	Sallie Krawcheck Has Left the Building In a move that presages future Citigroup plans, Smith Barney CEO Sallie Krawcheck and Citigroup's CFO Todd Thomson have switched offices.
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.
Registered Rep. December 8, 2011 Jerry Gleeson	Fidelity's Upgrade of myStreetscape Includes Mobile Functions Fidelity's new myStreetscape is available on the Web, offers more functions, improved navigation and expanded features.
Financial Advisor August 2004	Fidelity Offering New Portfolio Management System An institutional-level portfolio management and order generation system... A Web-based client communications product... A new deferred income annuity... etc.
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.
The Motley Fool May 25, 2010 Dan Caplinger	Be the Best Investor You Can Be The right broker can make all the difference.
Registered Rep. February 1, 2005 Mindy Diamond	Customize Your Career As a result of broker dissatisfaction with the status quo, the increasing clout of top producers (at some firms) and the need for firms to keep successful reps happy, we're beginning to see quite a bit more flexibility.
Registered Rep. December 8, 2015 David Armstrong	Editor's Letter: December 2015 The job of an advisor inside the Wall Street firm has changed along with the rest of the industry. It has evolved to a position of greater independence and autonomy, even in the employee model.
CRM May 1, 2003 Ron Miller	Big Deal Merrill Lynch signs a five-Year CRM contract.
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?
Entrepreneur June 2005 Sara Wilson	Cents and Sensitivity Selling a business is an emotional event. This franchisee helps ease the pain.
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.
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 September 2009	Broker/Dealer of the Year, Division II Quick company stats of The Investment Center.
Information Today July 2, 2015	Thomson Reuters Rolls Out APIs for Elektron The open source APIs streamline access to Thomson Reuters' data feeds and services.
Investment Advisor June 2006	B/d Briefing: News & Products At the Fidelity Executive Forum in late April, Fidelity Brokerage Company's National Financial (NF) clearing firm unit demonstrated a number of new services... For the first time in the history of the NASD, a father/son duo has been elected to the NASD board... etc.
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.