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Registered Rep.
August 23, 2005
John Churchill |
Proprietary Matters for AEFA and UBS Selling proprietary product via a firm's own sales force was once considered a great strategy for maximizing revenue. In another sign that that strategy is dead: UBS and Ameriprise are now embroiled in separate class-actions suits.   |
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. |
Financial Planning
September 1, 2006
Jane Worthington |
Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost. |
Bank Technology News
February 2009
Brian Longe |
Customer Satisfaction Begins with a Single Compliance Solution Using a single technology platform to handle all of its compliance needs allows a bank to open new accounts and complete transactions more quickly through the solution's common database structure. |
Investment Advisor
October 2008 |
News & Products, October 2008 The SEC announces an enforcement action against LPL Financial Corp... ING Advisors Network announced a reorganization... Ameriprise Financial has signed an agreement to acquire H&R Block Financial Advisors... etc. |
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 |
Investment Advisor
August 2009 |
B/D News Broker/Dealer news: SEC Enforcement... BOA and broker protocol... FINRA surveys retail sales practices... |
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. |
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.
April 26, 2011
Diana Britton |
Ameriprise Profits Rise on Record Advisor Productivity The firm reported its best quarterly advisor productivity ever at $95,000, up 23 percent from 2010. |
Financial Planning
March 1, 2013
Kenneth Corbin |
SEC Registration Deadline Looms As annual registration nears, compliance experts warn RIAs to be cautious about their numbers. |
Registered Rep.
October 26, 2005
Kevin Burke |
Regulators Hit Ameriprise for $1.25 Million Over 529 Sales Regulators fired their first shot in what figures to be a round of enforcement actions against brokerages for abusive sales practices related to 529 college savings plans. |
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. |
Financial Planning
October 1, 2010
Brian Hamburger |
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive. |
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.
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.
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. |
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 |
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. |
Wall Street & Technology
May 30, 2007
Melanie Rodier |
Market for Wealth Management Compliance Systems Set to Jump 15% by 2011 Investment advisors are expected to spend the most on technology as they are among the fastest growing and most regulated group of advisors. But hedge funds are also likely to increase IT spending. |
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. |
Registered Rep.
November 29, 2011
Diana Britton |
FINRA Strikes Again: Eight B/Ds Busted for Sale of Private Placements The Financial Industry Regulatory Authority continues its crackdown on the sale of troubled private placements, filing sanctions against eight firms and 10 individuals Tuesday and ordering them to pay restitution to investors. |
Investment Advisor
June 2009
Thomas D. Giachetti |
Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures. |
Financial Advisor
March 2005
Tracey Longo |
The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients. |
Registered Rep.
May 19, 2014 |
The Top Six Reasons Advisors Won't Use Social Media Based on our survey of 447 advisors sponsored by NFP, we broke down the challenges that firms face in their efforts to adopt a social strategy. |
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.
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. |
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. |
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. |
Financial Planning
April 1, 2007
Jane Worthington |
Compliance Tips Although many investment advisors don't handle client assets, each advisor should maintain written policies and procedures to prevent and detect possible money laundering schemes. |
Investment Advisor
August 2008
Thomas D. Giachetti |
The Three Troubling Themes How to combat compliance misunderstanding and misdirection. |
Financial Planning
June 1, 2010
Paul Menchaca |
Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it. |
Investment Advisor
October 2008
Bob Clark |
The Real Deal MarketCounsel is focused on taking the independent advisory model to the next level. |
Bio-IT World
January 12, 2004
Anthony Strattner |
Regulatory Compliance Follow this program to avoid drug marketing and pricing violations. |
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.
July 8, 2011
Jodie Papike |
What To Do When You Smell a Storm Coming At Your B/d New technology and today's 24-hour media cycle have put advisors in a much better position to sniff out trouble at their broker/dealer. |
Financial Advisor
March 2008
Joel Bruckenstein |
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers. |
On Wall Street
July 1, 2010
Bill Willis |
Defining A Firm's Label, Where Do You Fit In? We in the securities industry make a big deal of classifications for our firms. However, over the years these categories have become blurred, as have their advantages and weaknesses. |
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. |
Investment Advisor
October 2007
Melanie Waddell |
Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail. |
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. |
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. |
Wall Street & Technology
March 1, 2004
Jim Middlemiss |
Compliance Issues Overwhelm the Industry Financial-services firms grapple with the multitude of compliance issues facing the industry. Is there an end in sight? |
Financial Planning
July 1, 2011
Donna Mitchell |
Hot Topics FINRA steps in... $80 million settlement of two class-action suits by Securities America... Whistleblower payday... |
Pharmaceutical Executive
January 1, 2013
Ben Comer |
Compliance in the C-Suite Compliance officers have risen into pharmaceutical management's highest ranks, by choice in some organizations, and by government decree in others. Either way, their importance as a strategic partner can hardly be understated. |
CFO
February 1, 2006
Alix Nyberg Stuart |
Penalty Box The SEC is handing out bigger and bigger fines for misdeeds. But is this the right approach? |
Financial Advisor
November 2009
Bruce W. Fraser |
Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world. |
Investment Advisor
January 2007
Melanie Waddell |
Getting Compliance Help Now If you're one of those financial advisory firms that's still dithering on the sidelines hoping that your compliance program is up to snuff, it's time to get serious. A good place to turn for help is the Regulatory Compliance Association's new CCO University. |
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. |
Wall Street & Technology
March 1, 2004 |
Getting Management on Board With Compliance Compliance and litigation readiness have blasted up the priority list of top management. Leading financial institutions have appointed general counsel into top management roles. Boards of directors are reviewing and approving technology solutions. |
