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Registered Rep.
July 28, 2011
Diana Britton |
Ameriprise: Rep Productivity at New High; Securities America Sale in `Near Future' Advisor productivity reached a new high for Ameriprise Financial.   |
Registered Rep.
April 25, 2011
Diana Britton |
Ameriprise to Shed Securities America Amid Pending Settlement The company plans to sell its independent broker/dealer unit Securities America, while the firm is still in the process of finalizing a settlement with investors claiming SAI sold allegedly fraudulent private placement. |
Registered Rep.
February 3, 2011
Jerry Gleeson |
Ameriprise Advisor Production Still Rising -- Investors Disappointed by Firm-Wide Results The number of advisors continues to drop at Ameriprise Financial, but the company is more than making up for it with sharply higher productivity. |
Registered Rep.
October 27, 2011
Diana Britton |
Ameriprise Profits, FA Productivity Down Amid Solid Recruiting Quarter Ameriprise Financial has been steadily improving the productivity of its advisors since the firm set its sights on this goal over a year ago - until now. |
Registered Rep.
April 28, 2011
Diana Britton |
Securities America Likely To Sell At Discount Ameriprise needs to find a buyer for Securities America in a hurry. Many advisors, including large producers, are likely to leave the firm, especially between now and the time a buyer emerges, sources told Registered Rep. |
Registered Rep.
October 28, 2010
Jerry Gleeson |
Ameriprise Profits Pop, Advisors More Productive Ameriprise's Advice and Wealth Management business is doing more with less: fewer advisors, higher revenue and profits. |
Registered Rep.
March 15, 2012
Diana Britton |
Ladenburg Thalmann Revenue Doubles Thanks to SAI acquisition, But Profits Are Slim The spike was primarily due to the company's acquisition of Securities America, adding $57.1 million to Ladenburg's 2011 revenue. Net income for the quarter was $6.4 million, compared to a net loss of $1.1 million for the fourth quarter 2010. |
Registered Rep.
March 17, 2011
Diana Britton |
Securities America Faces Settlement Hearing Friday; Legal Liabilities Up in the Air Securities America will face a federal court judge to decide whether the independent broker/dealer gets preliminary approval for a $21 million settlement agreement related to private placements sold by the company. |
Registered Rep.
March 21, 2011
Diana Britton |
Judge Shoots Down Securities America Settlement; Arbitrations Move Forward Securities America's request to bundle several arbitration claims and class action lawsuits into one $21 million settlement agreement related to allegedly fraudulent private placements sold by the company was denied. |
Registered Rep.
August 12, 2011
Diana Britton |
$420 Million Team Leaves Securities America for LPL, As Do Others Some advisors have jumped ship from independent broker/dealer Securities America for LPL Financial following news that parent Ameriprise Financial would sell SAI. |
Registered Rep.
July 27, 2006
Kristen French |
Ameriprise FAs, Without American Express, Gain New Assets, Improve Average Production by Double Digits So far, Ameriprise seems to be doing just fine without the backing of its former parent company. The firm had a good second quarter, meeting analyst expectations, enjoying strong asset flows, improving advisor productivity and increasing its mass affluent client base |
Registered Rep.
March 25, 2011
Diana Britton |
Securities America Negotiates With Plaintiffs; Saga Continues Securities America met with plaintiff's attorneys to negotiate a resolution to investor claims against the company related to its sale of allegedly fraudulent private placements. |
Registered Rep.
November 7, 2011
Diana Britton |
Ladenburg Thalmann's Acquisition of Securities America a Done Deal Ladenburg Thalmann has closed the deal to acquire independent broker/dealer Securities America from Ameriprise Financial. |
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 |
Registered Rep.
March 28, 2011
Diana Britton |
Securities America Nears Resolution With Plaintiffs Securities America has made "substantial progress" in its mediation with plaintiffs' attorneys involved in class action suits against the independent broker/dealer. |
Registered Rep.
August 17, 2011
Diana Britton |
SAI Sale to Ladenburg Mostly a Positive for Reps--Depends on Retention Packages Ameriprise Financial's sale of Securities America to Ladenburg Thalmann is mostly a positive for the firm's rep base. |
Registered Rep.
August 13, 2008
Halah Touryalai |
Ameriprise Buys H&R Block Reps Ameriprise Financial is 900 advisors stronger after it purchased H&R Block Financial Advisors for $315 million in cash. |
Registered Rep.
November 1, 2005
Kristen French |
The Ameriprise Challenge Formerly known as American Express Financial Advisors, the firm officially struck out on its own when it debuted on the NYSE. Ameriprise is one of the largest financial advisory firms, with more than 10,500 financial advisors and over $410 billion in assets. Still it's got a lot to prove. |
Registered Rep.
May 2, 2011
Diana Britton |
Securities America Moves One Step Closer to Finalizing Settlement After months at the negotiating table with clients who filed arbitration and class action claims against the firm, Securities America is one step closer to getting the OK on a $150 million settlement. |
Registered Rep.
August 17, 2011 |
Ladenburg Thalmann to Buy Securities America Ladenburg Thalmann Financial Services Inc. has agreed to buy Securities America Financial Corp., the troubled independent broker/dealer, from Ameriprise Financial Inc. for at least $150 million in cash. |
Financial Advisor
January 2012
Bruce W. Fraser |
Full Steam Ahead What could have been a sad chapter for Securities America now seems to be a new lease on life for the firm. |
Registered Rep.
June 27, 2011
Diana Britton |
The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home. |
Registered Rep.
August 3, 2004
John Churchill |
The Beginning of Reconstruction Advisors at firms involved in the settlement with the SEC are required to give clients access to research from three different independent providers. What impact will this have on investors and the reputations of advisors? |
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. |
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. |
Registered Rep.
November 5, 2012
Scott Smith |
Look Before You Leap The very benefits IBDs have used to lure advisors may actually be their undoing. |
| 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. |
Financial Planning
August 1, 2011
Donna Mitchell |
Ready to Commit Omaha, Neb.-based Securities America is one of Ameriprise's five broker-dealer subsidiaries. That Ameriprise, based in Minneapolis, announced its intention in March to sell the independent broker-dealer without a buyer lined up is also unusual. |
Registered Rep.
July 1, 2005
Kristen French |
You're Calling It What!??? After several months of deliberations and input from all 18,000 of its employees, the soon-to-be-spun-off American Express Financial Advisors selected as its new name: Ameriprise. |
Registered Rep.
February 15, 2012
Diana Britton |
More Advisors Fleeing Morgan Keegan Morgan Keegan has lost seven financial advisors since December, FINRA filings show. They follow some 190 other advisors who fled over the past six months. |
Registered Rep.
August 19, 2011
Diana Britton |
What Will the Securities America Retention Package Look Like? The details of the Ladenburg Thalmann Financial Services' retention packages to Securities America's 1,700 reps are still up in the air. |
Financial Planning
October 1, 2012
Scott Wenger |
Looking to the Future: Securities America Wants to be a Leader in Retirement Income Distribution The author has a question and answer session with Securities America CEO Jim Nagengast |
Registered Rep.
September 11, 2009
Halah Touryalai |
Survey Says: Wall Street Advisors Going...Wait For It...Independent! Wall Street wirehouse firms are expected to see a net loss of $188 billion in client assets to other channels in the industry, including RIAs, independent broker/dealers and regional b/ds. |
Registered Rep.
May 13, 2009
Christina Mucciolo |
Wall Street Squeezes Small Brokers, Many Go Independent In this brutal market, many advisors are taking payout cuts or being let go. But many of these advisors are finding homes at independent and regional b/ds and RIA firms. |
Financial Planning
May 1, 2008
Stacy Schultz |
Client Loyalty The most common reason affluent investors leave their financial advisors is because their advisor does not answer their calls, according to a new report. |
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. |
On Wall Street
September 1, 2010
Aarti N. Maharaj |
Five Questions With Amy Strong Joining Financial Research Corp. as a research analyst in 2007, she examines the state of the industry and marketing effectiveness. |
The Motley Fool
August 26, 2008
Dan Caplinger |
Is Your Broker Robbing You Blind? With many advisors charging fees based on assets under management, there's always a possibility that your advisor will recommend commission-generating investments that aren't the best for you. Although it looks innocent, that amounts to outright theft. |
Registered Rep.
November 1, 2007
Erik Kolb |
Fighting The Brand X Syndrome How do independent advisors choose a broker/dealer firm to work for? Since most firms offer similar services, the decision usually comes down to "squishy" qualitative factors, like feel, culture and personal touch. |
Registered Rep.
June 4, 2013
Diana Britton |
Fading Bull Our annual compensation survey shows advisors are riding the market rally -- so what happens when it ends? |
Registered Rep.
August 1, 2006
Kevin Burke |
Stay Wachovia's not the first firm to offer multiple affiliation options to its reps -- Raymond James has offered something similar for several years -- but it is the first wirehouse-type brokerage house to do so. Ultimately, the model could serve as a blueprint for the retail advisory business. |
Registered Rep.
January 22, 2015
Ryan W. Neal |
Advisor Industry Shrinks While Assets Continue to Grow A recent report by Cerulli Associates found that the industry shrank 1.9 percent to 287,119 advisors in 2013. Asset levels, however, are on the rise. |
On Wall Street
March 19, 2013
Bill Willis |
Recruiter's Tour of Raymond James Morgan Keegan employees were required to make a home office visit after their firm was acquired by Raymond James. |
Registered Rep.
September 4, 2013
David Armstrong |
Editor's Letter: September 2013 Most advisors decide to move not because they are wooed to greener pastures, but because pain points inside their current environment have become too great. |
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 2007
Kara P. Stapleton |
Changes Ahead for 403(b)s Retirement plan advisors, distributors, and providers are finding themselves responding on the fly to the trends shaping the 403(b) and 457 markets. New regulations will add paperwork and confusion say critics. |
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. |
Registered Rep.
May 14, 2013
Mindy Diamond |
The Economics of Choice In many cases, the economics of the independent model can be exponentially better than those being touted by the wirehouses today. |
Financial Planning
June 1, 2008
Stacy Schultz |
More Than Equal A study of the role of the female financial advisor. The research compares female to male advisors and looks at the varying performance levels of women advisors. |
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. |
