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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 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.
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.
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 September 2005	Fantastic 5 This year's winning broker/dealers of the year reveal some of the machinery behind the success: Division I -- Geneos Wealth Management... Division II -- Brecek & Young Advisors... etc.
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.
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 June 2009 Russ Diachok	Coming to an RIA Near You One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers.
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 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.
Registered Rep. September 30, 2003 Will Leitch	Lobbying for Independents The Financial Planning Association has lamented, along with many of its members, the absence of a specific lobbying organization for independent broker/dealers. The FPA is now trying to do something about it.
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 May 2008 Savita Iyer-Ahrestani	DIY Clearing, Made Easy Fidelity's National Financial promises to do what any other outsourcing vendor does: Save time and money for self-clearing broker/dealers so that they can focus on developing their core competencies.
Registered Rep. March 1, 2007	The Upstarts There are some upstart custody/clearing firms who are winning business from the behemoths.
Registered Rep. February 1, 2005	By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc.
Investment Advisor September 2006 Robert F. Keane	The Investment Center If keeping your representatives satisfied is the name of the game for broker/dealers, then it's no surprise that Ralph DeVito and The Investment Center are the winning team in Division II this year.
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 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.
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
Investment Advisor January 2006 Melanie Waddell	A Notch Higher Broker/dealers expect their clearing firms to act like true strategic partners.
Investment Advisor April 2007 James J. Green	Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers.
Investment Advisor March 2009 Melanie Waddell	When It Pays to Fight City Hall An annual analysis of litigated disciplinary proceedings brought by the SEC and FINRA against broker/dealers and registered representatives shows that it sometimes pays for B/Ds and reps to litigate against the regulators.
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.
Registered Rep. July 1, 2006 Kristen French	Independent Channel Big and Getting Bigger Every financial-advice channel grew in terms of advisor headcount in 2005 except for the regional and bank broker/dealers, according to recently released research.
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. October 28, 2009 Christina Mucciolo	NAIBD Works To Prevent Audit Cost Hikes For IBDs The National Association of Independent Broker/Dealers is working to prevent proposed legislation in Congress from increasing the auditing costs of small independent broker/dealers.
Investment Advisor January 2008 Kathleen M. McBride	Clearly Profitable It's an evolution revolution at the big clearing firms.
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.
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.
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.
Investment Advisor May 2007	The Original SEC Rule The Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor even when they were being paid fees for investment advice.
The Motley Fool May 20, 2004 Tim Beyers	American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest?
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.
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.
Registered Rep. October 1, 2004 Will Leitch	Bank Shots For the first time in a year-and-a-half, quarter-over-quarter revenue at bank-owned broker/dealers dropped, by 18 percent, according to a Bank Insurance & Securities Association's (BISA) report on the second quarter of 2004.
Investment Advisor March 2009 James J. Green	The FSI's Priorities Now While the members of the Financial Services Institute compete fiercely with each other in many areas -- within FSI they have subsumed their differences in favor of promoting the common agenda of broker/dealers.
The Motley Fool April 19, 2005 Dayana Yochim	Matchmaker, Matchmaker? Money isn't everything when finding a mate... or a financial advisor. When it comes to non-face-to-face financial products like an online brokerage account, you'll have to do a bit of soul searching.
Investment Advisor June 2009 James J. Green	Numerology: Fund Flows Bounce Back Independent and regional broker/dealers, along with RIAs, will account for the majority of mutual fund net sales by the year 2013.
Investment Advisor September 2008 Melanie Waddell	Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers.
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. 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.
The Motley Fool August 2, 2005 Selena Maranjian	Questions to Ask Your Broker You may be surprised at how your broker makes his money. Here are some important questions to ask your broker or financial advisor, as not all financial professionals operate by the same rules.
Investment Advisor March 2007 James J. Green	Silver Lining Despite the silver lining benefits, the financial advisor community can't just react to regulators and legislators. It must be proactive.
Investment Advisor November 2009 James J. Green	Hybrids on the Rise Asset managers have reacted to the market crisis of 2008 by cutting their overall salesforce personnel by about 5%.
Investment Advisor June 2008 Jonathan Henschen	Transfer Time For advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it's time for a reality check.
Registered Rep. April 28, 2015 Megan Leonhardt	Q&A: Andrew Evans, Managing Director, Atlantic Financial Group We interview Andrew Evans about a number of financial services issues.
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. December 2, 2014	Best of the Best 2014 Unlike many of our competitors, we are as transparent as possible about our criteria and methodology when publishing a ranking.
Investment Advisor June 2008 Kathleen M. McBride	Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry.
Registered Rep. August 26, 2014 Diana Britton	The Evolution of RCAP Nicholas Schorsch, executive chairman of RCS Capital, made his initial foray into the independent broker/dealer space with his purchase of First Allied Securities and The Legend Group, with 1,500 advisors. Since then, Schorsch has been on an acquisition tear.