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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.   |
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.
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.
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. |
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.
May 2, 2011
Kristen French |
Raymond James, Commonwealth to Give FAs Free Reign on Social Media In other words, they will be able to post tweets, updates and comments that have not been pre-approved in real time. |
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. |
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. |
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. |
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. |
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. |
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.
August 29, 2014
Diana Britton |
One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers. |
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. |
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. |
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. |
Registered Rep.
November 5, 2012
Diana Britton |
Defying the Odds It's orthodoxy that small IBDs won't be able to stay in business given the unprecedented increase in regulatory and technology costs. Yet some tiny firms are bucking the trend. Here's how they're doing it. |
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. |
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.
June 1, 2012
Diana Britton |
Burnt Out on Social Media? The new tools aren't winning business the way they used to. |
Registered Rep.
October 21, 2011
Diana Britton |
Nature of the Biz? Insurance Advisors Ahead of the Pack On Social Media Among financial advisors, insurance advisors are most likely to use social media for business purposes and most likely to have landed clients through social media. |
Registered Rep.
December 21, 2011
Diana Britton |
Aite: Bloom Coming Off the Rose of Social Media? Financial advisors are just getting started, and already, the bloom seems to be coming off the rose, Aite Group says. |
Financial Advisor
January 2012
Brian Hamburger |
Who Will Start The Revolution? Big firms give "Big Brother" nod to social media. |
Registered Rep.
January 6, 2010
Halah Touryalai |
Wirehouse FAs Switching B/Ds Slows The number of wirehouse advisors switching broker/dealers has been in steep decline since June. |
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.
May 5, 2010
Kristen French |
Small B/Ds in A Crunch, Expect More Closures, Mergers In 2010 Squeezed by investor lawsuits, rising compliance and insurance costs, as well as departing advisors and clients, some of the industry's smallest independent broker/dealers are struggling to stay afloat. |
Registered Rep.
July 14, 2009
Halah Touryalai |
Financial Advisor Switching Firms Jumps in June June was a busy month for financial advisors on the move. The number of advisors switching firms jumped 45 percent in June versus May, according to Discovery Database. |
Registered Rep.
January 1, 2006
Halah Touryalai |
The Winner's Curse Many advisors independent b/ds recruit have now unrealistic expectations: They want full technical and marketing support, as well as help understanding products and asset managers. |
Registered Rep.
April 1, 2009
Halah Touryalai |
No Buyers--Still--For AIG-owned B/Ds AIG announced its plan to sell its independent broker/dealers back around October 2008. Six months later, nothing has changed except that reps we spoke to are even more frustrated. Some say they are ready to bolt. |
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. |
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.
December 16, 2009
Halah Touryalai |
Wirehouse Switching Slows in Second Half of 2009 In November, just 177 advisors in the wirehouse channel switched firms, the smallest monthly number all year, according to Discovery Database. |
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. |
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. |
Registered Rep.
June 9, 2009
Halah Touryalai |
Fewer Advisors Switch B/Ds in May The number of advisors switching firms dropped 23 percent in May versus April, according to Discovery Database. |
Financial Advisor
June 2011
Michael W. Byrnes |
Social Media Networking Becomes Even More Important Whether a believer or disbeliever in the power of social media, it is important to see the trends and know how business will be impacted. This article shares three things to keep up with as the industry evolves. |
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. |
Registered Rep.
October 31, 2014
Megan Leonhardt |
The Lost Opportunity Despite the greater freedom and advantages using the tools can bring, only 53 percent of advisors at RIA firms are using social media for business. |
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. |
Registered Rep.
April 29, 2009
Halah Touryalai |
Wirehouse Advisors Switch Firms in March The number of reps switching broker/dealers during the month was up 34 percent versus the number who switched in February. |
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. |
Financial Planning
June 1, 2011
John Comer |
Linking In When you talk about social media, Facebook and Twitter tend to get most of the buzz. But many financial advisors might not realize that another network may generate better results: LinkedIn. |
Registered Rep.
February 4, 2013
Diana Britton |
Faking It: Our Third-Annual IBD Report Card Survey The economics of the IBD business haven't changed; independent b/ds are up against it. They're faced with rising regulatory costs and a greater demand for technology investment to stay competitive. |
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, 2007
Erik Kolb |
Fighting The Brand X Syndrome How do independent advisors choose a broker/dealer firm to work for? Since most firms offer similar services, the decision usually comes down to "squishy" qualitative factors, like feel, culture and personal touch. |
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. |
Financial Advisor
February 2012 |
Social Media Losing Some Appeal With Financial Advisors Despite the hype about the benefits social media can bring to financial advisors, most advisors don't find it very useful in their businesses. |
Registered Rep.
February 1, 2005 |
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. |
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. |
