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Investment Advisor September 2007	Through the Years Broker/Dealers of the Year 1991-2007
Investment Advisor September 2009 James J. Green	Who Representatives Voted For Win, place and show in this year's Broker/Dealer of the Year voting.
Registered Rep. March 31, 2015 Diana Britton	Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question.
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.	The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014.
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 November 2007	Lines Limned by a "Letters" Lover Letters to the Editor: Broker/Dealer of the Year Correction... Spelling correction...
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 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	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.
Registered Rep. February 2013 David A. Geracioti	Editor's Letter: February 2013 The editor thanks financial advisors for their survey participation and talks in more detail about the firms that took part.
Investment Advisor September 2005 Melanie Waddell	The Playing Field: The Image is All Important Document imaging is becoming a must-have technical solution for compliance-conscious financial advisors.
Financial Planning June 1, 2010 Paul Menchaca	Tale of a Tough Year What the numbers show: a dramatic seven-month stock market rally was not enough to help most of the top 50 broker-dealers counter the aftershocks of the financial crisis.
Registered Rep. December 10, 2003 David A. Gaffen	Securities Revenues Fall in Third Quarter Securities firms showed profits of $3.0 billion in the third quarter of 2003, a 45 percent decline from the second quarter, according to the Securities Industry Association. A significant drop in trading revenue was responsible for the profit hit.
Investment Advisor June 2007 Lauren Barack	Streamlining Broker/dealers are aiming for a one-click model for their technology platforms.
Registered Rep. June 23, 2011 Diana Britton	Ladenburg Thalmann Possible Buyer in Securities America Sale Ladenburg Thalmann, parent company of Triad Advisors and Investacorp, has emerged as a potential buyer of Securities America, which Ameriprise Financial announced plans to sell in late April.
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 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.
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. May 1, 2004	Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing.
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 March 2009 James J. Green	IA Interview: Changing of the Guard, Sort Of Wayne Bloom's accession at Commonwealth signals business as usual for the independent broker/dealer, with a twist.
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
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.
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.
Investment Advisor September 2006 Lauren Barack	Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility.
Financial Planning July 1, 2006 David J. Drucker	Fee-Based Confusion Cambridge, Commonwealth and Securities America aren't your father's broker-dealers. Although they count reps of all compensation stripes within their ranks, they're clearly leading the new generation to a more professional business model.
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. January 1, 2006	Corrections In the November issue of Registered Rep. a list of the 20 largest independent broker/dealers failed to include at least two b/ds that were larger than some on that list.
Financial Advisor May 2009 David J. Drucker	Crisis Intervention Broker/Dealers unveil new programs to help advisors survive the recession.
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 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.
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.
Registered Rep. July 8, 2011 Lauren Barack	AIG's Advisor Group Kicks Open Door to Social Media For Reps Advisor Group will allow its more than 4,800 independent reps to, in many cases, post freely on Twitter, LinkedIn and Facebook.
Investment Advisor May 1, 2011 Janet Levaux	Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm
Financial Planning May 1, 2010 Paul Menchaca	The Road Ahead Securities America's executive team seems to view its stellar growth with a mix of pride, and a small degree of hesitation.
Financial Advisor January 2004 Tracey Longo	Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003.
Financial Planning June 1, 2005 Black & Liptow	FP50: The Rising Tide Among the 50 largest independent financial advisory firms--this year's FP50--revenues and assets under management were up, and losses were down. The leaders are holding their top slots, while many newbies are growing at a dramatic clip.
Financial Advisor November 2010 Bruce W. Fraser	Out Of Retrenchment Independent broker-dealers see good recruiting opportunities in 2011.
Financial Planning June 1, 2007 Marshall Eckblad	FP50: Behind the Numbers Revenues among the top 50 broker-dealers soared, costs fell and reps took home more money than ever. But the biggest winners in this year's survey were fee-based products.
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.
Financial Planning June 1, 2011 Donald Jay Korn	FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases.
Investment Advisor April 2007 Kathleen M. McBride	Designated Advisor The new Certified Wealth Strategist designation gives advisors a way to structure their practice around client service and also gives advisors the confidence to talk with clients more broadly about their financial picture.
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...
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 2007 Kathleen M. McBride	A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates?
Financial Planning June 1, 2011 Scott Wenger	Help Wanted The rising tide of the markets lifted virtually all boats among independent broker-dealers last year -- at least 82% of the firms in our 26th annual FP50 Survey reported revenue growth. Great time to have been looking for a job as an advisor, right?
Investment Advisor September 2009	Broker/Dealer of the Year, Division III Quick company stats of Sigma Financial Corp.
Registered Rep. July 29, 2013 Diana Britton	No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs.
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.