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Investment Advisor June 2009 Elizabeth D. Festa	B/D Briefing: Keys to B/D Success A new study reveals that a broker/dealer's growth can be stunted, the investor experience harmed, and the firm's brand jeopardized by the lack of an efficient operational platform.
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.
Investment Advisor June 2008 Philip Palaveev	The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive.
Registered Rep. June 7, 2011 Diana Britton	Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing.
Wall Street & Technology November 17, 2003 Anthony Guerra	Buy-Side Bashing in Singapore Forgetting that the customer is always right, broker/dealers and custodians made asset managers the pinatas at Swift's annual Sibos conference.
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.
Investment Advisor May 2009 James J. Green	Pershing Service for RIAs at B/Ds Pershing LLC introduces a new service for its affiliated broker/dealer firms called RIA Complete.
Investment Advisor January 2008 Kathleen M. McBride	Clearly Profitable It's an evolution revolution at the big clearing firms.
Investment Advisor July 2009 Jonathan Henschen	Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way.
Investment Advisor January 2007 Kathleen M. McBride	Symbiotic Relationships When broker/dealers select a clearing firm to partner with, it pays to be choosy. Clearing firms innovate to help correspondents thrive.
Registered Rep. April 1, 2008	Meet the Indies Choosing an independent broker/dealer to join isn't easy. We speak with five heads of independent broker/dealers about their businesses, an why you should join them.
Registered Rep. January 1, 2005	I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors.
Investment Advisor July 2007 Jonathan Henschen	B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees...
Investment Advisor September 2009 Robert F. Keane	B/D Briefing: Ramping Up Technology JP Morgan commits $100 million to broker platform
Investment Advisor October 2007 James J. Green	Mark Tibergien Named CEO of Pershing Advisor Group Tibergien, currently a principal and partner in charge of the securities niche at the accounting and consulting firm Moss Adams, will take on his new duties at the Bank of New York Mellon subsidiary on October 1.
OCC Bulletin September 5, 2002	Investment Portfolio Credit Risks: Safekeeping Arrangements This guidance alerts banks to the potentially significant credit risks they incur when safekeeping investment portfolio assets with third parties, such as brokers, broker/dealer firms and banks.
Registered Rep. May 24, 2006 Kristen French	Broker Sanctioned for Violation of Patriot Act After nearly a year and a half since the law's passage and after over a dozen brokerage firm audits, the SEC took its first enforcement action against a broker/dealer. Yet, in so doing, the SEC noted that broker/dealers are generally doing a very good job of complying.
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.
Investment Advisor September 2009 James J. Green	What Representatives Wish For Representatives tell what products or services they wish their current broker/dealers offered, but don't.
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
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.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
The Motley Fool March 5, 2004	Cheap Trades Here! A big part of how brokers compete is through price-per-trade. And while cost is a factor -- particularly for more frequent traders -- it should not be your only guidepost. Investment selection and services should be tops on your broker search list.
Investment Advisor September 2008 Eric Schwartz	B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future.
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 September 2008 Philip Palaveev	B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong.
Investment Advisor February 2008 Melanie Waddell	A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008.
Investment Advisor July 2008 James J. Green	Pershing Welcomes a Multitude Bolstered by success of registered independent advisors, Pershing, the big broker/dealer clearing and RIA custodial firm, celebrates big.
Registered Rep. November 1, 2007	Sure is a Good Time to be a Financial Advisor Broker/dealers and registered investment advisories are searching for advisor talent as never before. In fact, advisory firms are competing for talent even more than they are competing for clients.
Financial Advisor June 2009 Joel P. Bruckenstein	Stepping It Up Broker-dealers are enhancing the technology they offer to advisors.
Investment Advisor October 2009 Melanie Waddell	B/Ds Warned on Recruiting SEC Chairman Mary Schapiro sent a letter to broker/dealer CEOs, reminding them of their supervisory obligations under federal securities laws.
The Motley Fool December 4, 2006	Market or Limit Order? But for investors, the kinds of orders that matter most are the ones we place when we buy or sell stocks. While it helps to be familiar with the many order terms, it's worth examining the two biggies: market and limit orders.
The Motley Fool May 3, 2004 Dayana Yochim	Cash, Credit, Crudites? Brokers are offering a feast of freebies. Here's what's catching our eye.
Investment Advisor March 2007 Angela Herbers	Beyond the Numbers By increasing the level of service and the effectiveness of our financial advisory firm operations, we add value to the products and services we offer.
Registered Rep. April 27, 2011 Diana Britton	Poll: Do Recruiters Promise Too Much? A former Raymond James advisor recently filed suit against the broker/dealer claiming an internal recruiter misrepresented the support, technology and compensation the firm could deliver.
Investment Advisor March 2009 James J. Green	Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness.
The Motley Fool March 31, 2011 Dan Caplinger	Make Your Broker the Best With such a large array of competing brokers out there, you can hold out for one that will give you everything you possibly want.
Reason July 2000 Diane Katz & Henry Payne	Traffic Jam Auto dealers use government to build Internet roadblocks.
The Motley Fool November 9, 2005 Selena Maranjian	Market or Limit Order? The kind of order you place affects your ultimate profit. Here's a guide to market and limit orders.
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
Registered Rep. September 21, 2007 Halah Touryalai	Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers.
The Motley Fool August 17, 2004	Placing Orders With Your Brokerage You have many options when ordering -- choose what's best for you.
CRM March 2004 Emmy Favilla	IN BETA: GuideMark Guides National City Bank to Success GuideMark's new broker relationship system integrates mortgage sales and marketing processes with a CRM platform.
The Motley Fool May 13, 2004 Dayana Yochim	Find a Match for Your Money The right relationship is everything. How to get the right fit for your financial needs -- choosing a financial advisor and a broker.
The Motley Fool February 19, 2004 Dayana Yochim	Come Trade With Me Brokers want your business and a few are casting out some interesting bait, but is it worth it?
Registered Rep. October 1, 2004 Nick Ferber	Sunny Days In the interest of arming financial advisors with all they need to assess broker acquisition packages, here is a guide to deciding when it is mathematically justified to make a change.
Investment Advisor June 2009 Melanie Waddell	SEC's Walters Backs Harmonizing B/D, Advisor Rules Yet another top official at the SEC is championing the idea of harmonizing rules for investment advisors and broker/dealers.
Registered Rep. July 23, 2012 Diana Britton	Virgin Banks Few community banks and credit unions offer wealth management services to their customers. But many of these firms are struggling and looking for new sources of income. Broker/dealers are finally tapping these untouched firms with revenue-sharing partnerships.
Registered Rep. November 1, 2002 David A. Geracioti	Looking for Work -- On the QT Are you a broker looking for a job, but afraid you'll be found out? A new Web site, privateclientpro.net, provides a fast, anonymous and comprehensive listing of opportunities.
The Motley Fool February 23, 2009 Dan Caplinger	Grab Great Stocks While You're Napping How can you cash in on a temporary stock drop without sitting in front of your computer all day? It's simple -- by using limit orders.