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Registered Rep.
July 22, 2009 |
Edward Jones, LPL, Schwab: Keeping Clients Happy FAs, you better be at the top of your game.   |
Financial Planning
November 1, 2008
Stacy Schultz |
Key to Happiness The key to an advisor's happiness is support, at least for the independent advisor. |
On Wall Street
September 1, 2008
Donna Mitchell |
Which Firms Leave Clients Most Satisfied? It's easy to call clients in good markets, but more important to call them when times are bad. |
Financial Planning
June 1, 2007
Kathy Gevlin |
Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction. |
Registered Rep.
December 2, 2014
Megan Leonhardt |
Drivers of Advisor Satisfaction: Technology And Efficiency Financial advisors are known to harbor a strong streak of independence and autonomy, and aren't shy when it comes to letting their opinions be known, both good and bad. |
Registered Rep.
December 3, 2013
Megan Leonhardt |
Out From Under A rising market lifts many spirits, including advisor satisfaction with the firm that employs them. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Advisor Satisfaction For those advisors employed at national broker firms, overall satisfaction took a hit as markets remain uncertain. |
Registered Rep.
May 2, 2007
Kevin Burke |
It's Not About the Money The firms that have the highest number of satisfied financial advisors aren't necessarily the ones with the highest-paid financial advisors. Industry experts say that what really drives advisors to jump is friction with a supervisor. |
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. |
Registered Rep.
December 7, 2011
Philip Palaveev |
The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts. |
| Registered Rep. |
The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014. |
Financial Advisor
June 2007
Sherri Scordo |
Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc. |
Registered Rep.
July 19, 2010
Jerry Gleeson |
Edward Jones, RBC top J.D. Power investor survey Overall investor satisfaction with the dozen companies in the study was markedly higher this year, although the survey also showed that investors increasingly believe that investment firms are more focused on profits than on customer satisfaction. |
Registered Rep.
July 22, 2010
Christina Mucciolo |
Raymond James Financial and Wells Fargo Retail Brokerage Units Hang In There A report on earnings from two major financial firms. |
Registered Rep.
September 30, 2009
David A. Geracioti |
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled. |
Financial Planning
June 1, 2011
Donald Jay Korn |
FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases. |
Registered Rep.
June 3, 2015
Megan Leonhardt |
Compensation Survey 2015: How Advisors Stack Up Advisors whose business mix leans more toward fees make almost twice as much as those who still lean heavily toward commissions, according to data collected in WealthManagement.com's compensation survey. |
Registered Rep.
December 1, 2011
Kristen French |
Broker Report Card 2011: It's Getting Better All the Time Registered Rep.'s 21st annual Broker Report Cards showed advisor satisfaction ratings creeping higher this year across the board -- on everything from compensation and benefits, compliance support and sales support to products. |
Registered Rep.
December 1, 2005
Kevin Burke |
Edward Jones: Whistle While You Work According to survey results, financial advisors working at this financial firm seem to be living a charmed life. Here's why. |
Registered Rep.
April 24, 2009
Halah Touryalai |
Raymond James Takes a 2Q Hit -- But Gains Retail Advisors Raymond James Financial posted dismal overall earnings for the second quarter, but its private client group appears to be a bright spot. |
Registered Rep.
February 13, 2012
Jerry Gleeson |
Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead. |
Registered Rep.
November 30, 2012
Diana Britton |
Withering Wirehouses? Not Quite. Many industry propellerheads have forecasted an exodus of wirehouse advisors to the independent channel as retention bonuses unwind this year. |
Registered Rep.
March 31, 2015
Megan Leonhardt |
Pay and Compensation There seems to be little correlation between satisfaction and production: Advisors earned an average of $548,176 in gross annual production last year and $71.8 million in assets. |
Registered Rep.
July 10, 2006
Halah Touryalai |
Survey Says: To Get More Assets, Do Well for Current Clients When it comes to investing, the bottom line for your financial advisory clients is, well, the bottom line. Sounds obvious, right? Still, you might be surprised at how important satisfying client demands is to your business. |
Registered Rep.
February 15, 2012
Diana Britton |
More Advisors Fleeing Morgan Keegan Morgan Keegan has lost seven financial advisors since December, FINRA filings show. They follow some 190 other advisors who fled over the past six months. |
On Wall Street
March 1, 2012
Lorie Konish |
Go,Teams! When Hilliard Lyons introduced its current team-based award program in its compensation program five years ago, it led to what Executive Vice President Darryl Metzger now calls an "A-HA" moment for the firm. |
Financial Planning
August 1, 2007
John J. Bowen |
The Best in the Business Financial advisors can learn much from studying the business practices of their most successful peers. |
Financial Advisor
December 2010 |
Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc. |
Registered Rep.
February 29, 2012
Jerry Gleeson |
It's a Tough Route for Younger Advisors Anew report by Charles Schwab, which shows that advisors under the age of 40 are more likely than their older peers to feel pressure to grow their book of business, or to focus on selling proprietary products. |
Registered Rep.
August 1, 2006
Halah Touryalai |
(I Can't Get No) Satisfaction A recent survey suggests investors have higher rates of satisfaction with regional and independent broker/dealers than with wirehouse firms. |
Financial Advisor
February 2006
Joel Bruckenstein |
Rep Tech A broker-dealer's technology can play a key role in a rep's success and satisfaction. Perhaps independent reps should regularly compare the technology that their B-D offers against what leaders in the field have to offer. |
Financial Advisor
August 2012
Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers. |
Registered Rep.
September 4, 2013
David Armstrong |
Editor's Letter: September 2013 Most advisors decide to move not because they are wooed to greener pastures, but because pain points inside their current environment have become too great. |
Financial Advisor
August 2006
Tracey Longo |
Late Summer Recruiting While the recruiting party will get tougher some day for broker-dealers who cater to independent advisors and reps, for now they are enjoying their competitive advantage: They give brokers and advisors who want to own their own business the chance to do that. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Paying Premium? The percentage of advisors' revenues derived from fee-based business ticked up again this year, for the sixth year running. |
Registered Rep.
March 31, 2015
Diana Britton |
Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question. |
Financial Advisor
September 2008 |
Frontline News News of interest to the financial services industry: M&A Talks Hit Many Roadblocks... Ameriprise Buys H&R Block's Advisor Business... Morningstar Buys Developer Of dbCAMS+... Securities America To Buy Brecek & Young... etc. |
Financial Planning
December 1, 2010
Joel Bruckenstein |
Technology Survey 2010 With the renewed interest and investment in advisor technology, we expect to see further gains next year. It is a slow process, but as an industry we are becoming more technologically proficient. |
Financial Planning
January 1, 2013
John J. Bowen, Jr. |
How to Increase Client Satisfaction It s not about your skills, it turns out - other factors are more important in maintaining happiness and loyalty. |
On Wall Street
March 19, 2013
Bill Willis |
Recruiter's Tour of Raymond James Morgan Keegan employees were required to make a home office visit after their firm was acquired by Raymond James. |
Financial Advisor
June 2008
Tracey Longo |
Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner. |
InternetNews
December 30, 2009 |
Amazon Tops in E-tail Customer Service ForeSee Results has ranked the largest online retailers' customer service and found that Amazon has pulled ahead of Netflix to take the lead. |
Financial Advisor
November 2008 |
Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc. |
Financial Planning
August 1, 2008
Stacy Schultz |
B-D of the Future The Broker-Dealer of the Future, Pershing's first study on the industry, identifies factors facing broker-dealers new competitive landscape. |
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. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Show Me The Money Advisors' gross production varied widely by firm in this year's survey results. |
InternetNews
May 24, 2010 |
Microsoft Scores Good Will With Windows 7 Prominent measure of customer satisfaction finds that Microsoft's stock is rising in the public eye following the generally well received release of Windows 7. |
Financial Advisor
November 2008
Gail Liberman |
War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms. |
Financial Advisor
June 2007
Sherri Scordo |
Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc. |
Registered Rep.
August 25, 2010
Halah Touryalai |
Better Economic Times Ahead? Your Clients Don't Think So. Advisors seem more optimistic about the economy than their own clients, according to a recent survey. |
