By John Sullivan, Jamie Green
Source: AdvisorOne; Investment Advisor (Sept. issue)
This is an extended version of the article that appeared in the September 2011 issue of Investment Advisor announcing the independent broker-dealers who were named by their own reps as the 21st annual Broker-Dealers of the Year. They discuss regulations, technology, the new generation of advisors and product strategy, among other topics.
Related posts:
- Are You a Wirehouse Broker Thinking of Independence? Consider What You Owe By James J. Green Source: AdvisorOne It’s one thing for a wirehouse broker to reap the benefits of independence, including bigger payouts at independent BDs or 100% “payouts” if you become an RIA. But in a new whitepaper, securities attorney Patrick Burns warns such brokers not to overlook the...
- TD Ameritrade Reports 20% Rise In Breakaway Broker Recruiting By Jim McConville Source: Financial Advisor TD Ameritrade Institutional reports that it has attracted a record 260 breakaway dealers in the first three quarters of fiscal 2011, a nearly 20% rise from the same period last year. Breakaway brokers are switching over to independent registered investment advisors because they believe...
- What To Do When You Smell a Storm Coming At Your B/d By Jodie Papike Source: Registered Rep When broker-dealers shut their doors, a lot of people suffer: home office staff, advisors, clients. Today’s heightened regulatory environment is resulting in an increasing number of broker-dealers shutting down, merging or being bought out. The good news is, technology and 24-hour news sources can...
- The Who’s Who List of Independent Broker-Dealers for 2011 Source: Financial Planning Here’s a handy, alphabetical listing of all the independent broker-dealers who participated in Financial Planning’s 2011 survey along with their corporate contact information, top executives and sales rank for the year. Did your company make the cut? You can also take a more detailed look at the 50 largest independent...
- It’s About Time… You Consider How Regulations Will Affect Your Broker Dealer Or RIA! With the surge of new regulatory acts and FINRA tightening its belt, broker dealers and RIAs alike are feeling the pressure to stay on the “straight and narrow.” Firms must invest more time, money, and resources in their back office on compliance and oversight. With the added expense, some broker...
About Curator