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Registered Rep. June 16, 2011 Diana Britton	Securities America Jumps on the Social Media Bandwagon Independent broker/dealer Securities America announced its new social media program, which will allow all of its 1,800 reps to access and post content on Facebook, LinkedIn and Twitter.
Registered Rep. September 19, 2011 Diana Britton	More Advisors Using, Prioritizing Social Media, Survey Says Not only are more advisors using social media for business purposes, but more are making it a priority.
Registered Rep. September 7, 2011 Diana Britton	Seven B/Ds Sign on With Erado for Interactive Social Media Use The partnerships will allow these firms' reps to post interactive content to Facebook, Twitter, and LinkedIn without pre-approval by their compliance departments.
Investment Advisor April 21, 2011 John Sullivan	Commonwealth Financial to Allow Rep Access to Social Media Beginning in early June of 2011, it would allow its advisors to use social media, including Facebook, Twitter, LinkedIn and blogs.
CIO May 1, 2012 Kim S. Nash	Financial Company Gets Social, Stays Compliant Commonwealth Financial allowed its financial planners to set up social media profiles and interact with customers by using new tools that let them log conversations
Registered Rep. December 16, 2011 Diana Britton	Social Media Archiver Erado to Expand Globally Erado, which provides social media compliance and archiving software for broker/dealers, plans to expand its operations into Western Europe, Canada and possibly Japan next year, and expects to add at least 30 new employees in 2012.
Registered Rep. July 27, 2011 Diana Britton	NPH Adopts Social Media Strategy to Help Reps Connect with Clients National Planning Holdings plans to roll out a social media initiative this fall, which will allow its 3,563 reps to use Twitter, LinkedIn and Facebook to communicate with clients.
Registered Rep. May 25, 2011 Lauren Barack	Morgan First On Wall Street to Crack Social Media Code Morgan Stanley is in the process of testing a pilot program that would allow its financial advisors to interact with clients and others on social media websites Twitter and LinkedIn.
Financial Planning July 1, 2011 Donna Mitchell	Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value.
Financial Advisor March 2010 Joel P. Bruckenstein	Beware The Pitfalls The advantages of social media for advisors are being trumpeted loudly, but the risks are heard less.
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.
Registered Rep. October 19, 2011 Diana Britton	Registered Rep/Wealth Management.com Research: Indies, Insurers Take Lead on Social Media RIAs, independent broker/dealers and insurance companies are taking the lead in social media usage, ahead of wirehouses, regional firms and bank brokerages.
Financial Advisor July 2010 Andrew Gluck	A New Era With broker-dealers now starting to embrace social media, advisors have many more ways to market their firms.
Financial Advisor January 2012 Brian Hamburger	Who Will Start The Revolution? Big firms give "Big Brother" nod to social media.
On Wall Street March 1, 2010 Mark Astarita	Advisors Allowed To Get Social Some firms will continue to ban social media, while others will use the necessary software to allow it-just don't make a recommendation on one of the sites.
Financial Advisor March 2012 Gail Liberman	Social Media Hurdles Some advisors are using social media for marketing, but many haven't spent much time using it because of compliance issues.
Registered Rep. March 29, 2012 Jerry Gleeson	Social Media Works, Advisors Say Social media is gaining momentum with financial advisors, new research by Registered Rep. and wealthmanagement.com shows.
Registered Rep. October 27, 2011 Kristen French	Momentum Building for Social Media Adoption in Financial Services Financial firms that are using social media are not talking about their products or engaging their customer base.
On Wall Street May 1, 2010 Gerri Leder	Keeping In Touch And Getting New Business With Social Media Personal use of Facebook and business use of LinkedIn are converging, sometimes leading to new business and sometimes just rekindling relationships with acquaintances who might otherwise be lost.
Registered Rep. November 1, 2006 Susan Konig	A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.
Registered Rep. November 14, 2011 Diana Britton	Raymond James Hopes New Training Program Will Appeal to Women Bob Patrick, director of education and development for Raymond James, said the industry has become more relationship- and planning-oriented, rather than product-oriented, and this model fits well with how women work.
Registered Rep. February 24, 2012 Diana Britton	Some Morgan Keegan FAs Eager for Raymond James' Social Media Tools For some Morgan Keegan advisors, Raymond James is dangling a fairly tasty technological carrot: Immediate access to an advanced social media content, archiving and distribution platform.
Investment Advisor August 2010 Marlene Y. Satter	Broker/Dealer Briefing: Facebook and Twitter: Compliance Concerns Loom As FINRA notes, social media is no longer a trivial pursuit for advisors. And as they've grown more complex, the need to consider compliance issues for all communications on social media has grown from mere prudence to a necessity.
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.
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. 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.
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 June 2007 Lauren Barack	Streamlining Broker/dealers are aiming for a one-click model for their technology platforms.
Registered Rep. March 31, 2015 Diana Britton	Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question.
Registered Rep. March 13, 2012 Lauren Barack	Tongue-tied Advisors Even if they have their firms' permission to tweet, a technology platform up and compliance guidelines in place, the fear that they will "do it wrong" keeps many financial advisors from participating.
Investment Advisor June 10, 2011 Janet Levaux	BDs Beware: Banning Facebook Is Bad Policy, Says Socialware's Chad Bockius Socialware CEO says that prohibiting use of Facebook, Twitter and LinkedIn might lead to financial advisors switching firms.
Bank Director 2nd Quarter 2011 Naomi Snyder	Social Anxiety Banks have been wary of the social media revolution. Their customers are giving them little choice but to embrace the cacophonic world of tweets, blogs and Facebook.
Financial Planning December 1, 2009 Chris Hall	Socially Adept Participation in social media -- LinkedIn, Facebook, Ning, Groupsite, Twitter, blogs, YouTube -- is now a workplace reality.
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.
Registered Rep. February 7, 2012 Diana Britton	Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.
Financial Advisor March 2012 Mike Byrnes	Massachusetts Addresses Social Media Regulation Results from a July 2011 survey by the Massachusetts Securities Division found a significant growth trend in advisors using social media, but also found compliance deficiencies in existing social media regulations.
Financial Planning July 1, 2013 Joel Bruckenstein	Tech Review: New Digital Content Services Two new services allow advisors to deliver online content to clients and prospects via social networks.
On Wall Street October 1, 2013 Alix Stuart	A Social Media Presence May Enhance Business Now that advisors are (finally) allowed to use it, social media is finding its place in the marketing arsenal.
Registered Rep. November 4, 2014 Megan Leonhardt	Wires Have Biggest Social Media Footprint Out of all advisors, it's those sitting at banks who are most reluctant to embrace social media -- only about one out of every five use it, a number that has not budged much from previous years.
Financial Planning January 1, 2012 Donna Mitchell	Who's Afraid of Social Media? Social media compliance is a subject that elicits a range of reactions from planners, from groans to cautious, curious questions.
Registered Rep. March 3, 2010 Kristen French	New Social Networking Site Targets FAs LinkedFA is a new website is trying to cash in on the social networking craze and resolve some of the thorny regulatory questions that social networking sites raise for financial advisors.
Financial Advisor June 2009 Andrew Gluck	Social Networking And Advisors Advisors are barely scratching the surface in their use of social networking.
Bank Technology News March 2010 Michael Sisk	How to Stay Online and Inbounds Combine the fast, freewheeling world of social networking sites with the conservative, highly regulated world of financial advice and the reconciliation is bound to awkward.
Financial Advisor June 2008 Tracey Longo	Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner.
Registered Rep. September 1, 2010 Halah Touryalai	Outgrowing the SERIES 7 There is a coveted cohort of dually registered advisors who are dropping their Series 7 licenses and leaving their b/ds behind.
Registered Rep. May 17, 2011 Diana Britton	Advisors Promised the Moon, But Get Hard Cheese Most advisors said they had been recruited to a broker/dealer at one time or another based on promises that the firm later could not deliver on.
Registered Rep. January 25, 2010 Halah Touryalai	LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets.
Financial Planning June 1, 2013 Ann Marsh	FP50: Big IBDs Hit a Speed Bump Is the boom over? After years of double-digit growth, independent broker-dealers hit a rough patch in 2012. We report from the front lines of the FP50.
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. June 19, 2012 Diana Britton	Whose Suitability Standards? In early 2011, the SEC completed a study, mandated under Dodd-Frank reform legislation, which recommended extending to brokers who advise retail clients the same fiduciary standard that now applies to investment advisors.