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Registered Rep.
June 1, 2007 |
All About the Benjamins Reps say the darndest things.   |
Registered Rep.
June 1, 2007 |
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts? |
On Wall Street
August 1, 2011
Alan J. Foxman |
When Advertising Is Advertising Marketing a book to existing and prospective clients is considered advertising... Report your employment history as of the date you're filing for registration... |
Financial Advisor
August 2009
Eric Rasmussen |
Wish Upon An 'IAR' RIA or IAR? Registered investment advisor or independent advisor representative; the anagram you choose will depend on how big you are and how independent you want to be. |
On Wall Street
September 1, 2011
Nick Georgis |
Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds. |
On Wall Street
August 1, 2013
Alan J. Foxman |
Legal Expert Discusses Commission Contracts Our legal expert discusses how to make sure you re getting your due in commissions. |
On Wall Street
September 1, 2011
Alan J. Foxman |
To Share Or Not to Share (Revenue) I'm preparing to merge my small brokerage firm with a registered investment adviser. Do we have to wait for FINRA approval before we can close the transaction? |
Registered Rep.
June 16, 2011 |
New on RepTV: Advisor Insights In our "Advisor Insights" video series, Registered Rep. senior editor Jerry Gleeson sits down with advisors from across the country to find out what individuals are doing on a daily basis to improve their own businesses. |
Financial Planning
October 1, 2006
Marshall Eckblad |
Advisor Pulse The registered investment advisor market continues to add assets at a hefty rate. |
Financial Planning
May 1, 2011
Donna Mitchell |
Hybrid's New Groove Registered investment advisor firms looking for ways to expand their businesses might try turning to broker-dealers for a boost. |
Registered Rep.
October 30, 2015 |
The State of Independence: Intelligent Advisor The survey covers over 360 registered investment advisors. |
Registered Rep.
December 1, 2006
Kristen French |
60 Seconds with Deborah Doyle McWhinney A short interview about the rivalry between the registered investment advisor (RIA) firms that Schwab caters to and Wall Street wirehouses. |
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. |
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. |
Financial Planning
May 1, 2006
Marianne Czernin |
Don't Let Simple Things Trip You Up! Financial professionals must take the time to make sure they understand what the various regulatory organizations require them to do before they actually do it. They shouldn't go it alone, or they could find themselves in the same situations as these reps. |
Registered Rep.
May 2, 2011
Diana Britton |
Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial |
On Wall Street
May 1, 2013
Alan J. Foxman |
When It's Okay to Share Clients Our legal expert discusses things to consider before making a referral to a nonaffiliated third party. |
Financial Planning
September 1, 2008
Callahan & Malo |
Hybrid Chic A trend toward hybrids in the financial services industry is emerging. Increasingly, firms, advisors and brokers are establishing practices that manage both commission -- and fee-based businesses. |
Financial Planning
October 1, 2010
James E. Warren Jr. |
Beyond the Payout Eight critical points that every financial advisor contemplating a change of affiliation should consider. |
Financial Planning
April 1, 2008
Stacy Schultz |
Growing RIAs A new study from Fidelity Investments found that registered investment advisory firms have grown their assets under management an average of 55% over the past three years. |
Financial Planning
January 1, 2013
Donald Jay Korn |
Top Custodians: Battling for Custody Custodians try different strategies for growth as advisors break away to join RIA firms. |
On Wall Street
November 1, 2012
Alan J. Foxman |
Record-Keeping After Client Accounts Transfer How long must a broker-dealer keep records of accounts that have left the firm? |
Investment Advisor
March 1, 2011
Peter Montoya |
Ten Marketing Strategies for New Advisors Times are tough, but these real-world strategies can help get a new -- or struggling -- advisory practice off the ground. |
Financial Planning
September 1, 2012
Eric Schwartz |
Eric Schwartz of Cambridge Investment Discusses RIAs A proposal to deal with RIAs regulatory advantage over independent broker-dealers. |
Financial Advisor
November 2010
David Lawrence |
Back In The Fold? Will the new regulations force independents to return to 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. |
Registered Rep.
September 2, 2015
Megan Leonhardt |
Volatility Not Enough to Slow RIA M&A Deals The first half of 2015 saw a significant increase in merger and acquisition activity among registered investment advisory firms. |
Financial Advisor
September 2005
Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process. |
Financial Planning
June 1, 2006
Marianne Czernin |
Compliance Tips: Getting to Know All About You In previous years, "know your customer," had rather limited requirements. In recent years, however, it has come to mean that broker-dealer registered personnel must try to know the customer almost as well as they know a member of their family. |
On Wall Street
April 1, 2011
Alan J. Foxman |
The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV... |
Registered Rep.
January 1, 2008
David A. Geracioti |
Desperately Seeking Advisors For RR's 28th Annual Outstanding Advisor Awards Nominate a financial advisor for Registered Representative's annual Outstanding Advisor Award. |
Registered Rep.
November 26, 2010
Charles Paikert |
RIA M&A Deals On Track To Top 2009 Total The number of mergers and acquisitions completed in the registered investment advisor business through the third quarter of this year is near full-year totals for 2009, according to data from Schwab Advisor Services. |
Registered Rep.
October 1, 2005 |
60 Seconds with Bill Carey (Head of Fidelity's RIA group) The former president of Fidelity's institutional retirement business and a 12-year veteran of the firm talks about his plans for the advisory unit and the challenges confronting advisors. |
Registered Rep.
March 6, 2014
Diana Britton |
Independent Channels Continue to Steal from Wirehouses RIA and dually registered advisory channels will grow their share of the advised assets to 26 percent by 2016, according to a report by Cerulli Associates. That growth will largely come at the expense of the wirehouse channel. |
Financial Planning
May 1, 2012
Jennifer Woods Burke |
Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits. |
Investment Advisor
February 2007
Thomas D. Giachetti |
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management. |
Registered Rep.
January 1, 2009 |
Edit Letter: Calling All Outstanding Advisors Ten veteran financial advisors who exemplify the highest standards of professionalism and are active in charitable activities will be chosen as Outstanding Advisors. |
On Wall Street
January 1, 2012
Alan J. Foxman |
The Disclosure Dilemma When and what needs to be disclosed on the U4? |
On Wall Street
July 1, 2009
Helen Kearney |
The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own. |
Financial Planning
June 1, 2008
Elizabeth O'Brien |
Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA. |
Registered Rep.
February 2, 2011
Diana Britton |
RIA M&A Hits Record in 2010, More To Come In 2011 Registered investment advisory firms were furiously busy getting hitched last year: they did the highest number of merger and acquisition deals recorded in at least seven years. |
The Motley Fool
October 20, 2011 |
Exactly Why Your Broker May Be Dangerous Be careful out there, because the broker you choose may have an agenda. |
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. |
Registered Rep.
October 1, 2007 |
Corrections Corrected: Average production at Advanced Equities... Reset date for capital gains and qualified dividends... The value of customer asses... |
Registered Rep.
September 3, 2009
Mindy Diamond |
Talking To Clients About Breaking Away Here are some starting points for advisors to begin a conversation with clients about deciding to establish themselves as an RIA or joining an existing one. |
Registered Rep.
March 1, 2005 |
Ten Years Ago in Registered Rep. A quote from March 1995 numbering the days of brokers pushing hot stocks. |
Registered Rep.
June 4, 2012
Lauren Barack |
The Fishbowl Effect As financial advisor ratings websites like BrightScope and Advice IQ proliferate, advisors are going to have to get comfortable with having their records a click away from clients and prospects. |
Financial Planning
May 1, 2010
Donna Mitchell |
Advisory Pulse Registered investment advisory firms, especially small ones, are returning to the bargaining table this year; in the first quarter, RIA firms completed 24 merger and acquisition deals. |
Registered Rep.
June 1, 2005 |
A Hit with the Rich The percentage of high-net-worth households naming a registered investment advisor (RIA) as their primary advisor rose to 46% in 2004 from 30 percent in 2001. The growth came at the expense of the wirehouses. |
Registered Rep.
November 1, 2006
Kevin Burke |
Money Managers Don't Get RIA Market A large number of money managers still haven't figured out how to tap the registered investment advisor market to sell their funds, according to research. |
