Competitive Analysis: How Does Your Practice Stack Up?
- Publisher's Letter. Whelan, John // On Wall Street;Sep2004 Resource Guide, Vol. 14, p7
Provides information on the "2005 Guide to Independent Broker-Dealers," a reference published by the "On Wall Street" publication. Overview of the content of the guide.
- The Sales Job. MILLER, BILL // Research;Nov2009, Vol. 32 Issue 11, p72
The author reflects on the issues surrounding the advertisements of broker-dealer (BD) firms in the U.S. The author opines that such advertisements are just misrepresentations. The author suggests that consumers who are considering a change with their broker-dealer, should not rely on...
- Is Independence for You? Gallant, Dennis // On Wall Street;Sep2004 Resource Guide, Vol. 14, p28
Discusses several requirements for advisors seeking for independence. Basis of decision of advisors of going independent; Services offered by independent broker-dealer (IBD) firms; Attributes required by IBD firms among advisors; Specifications set for registered independent advisors.
- PUBLISHER'S LETTER. Schott, Mike // Financial Planning;2015 BrokerDealer, p4
In this article the author reflects on the broker-dealer culture, stating that the broker-dealer culture cannot be marked irrelevant as it contributes to the success of businesses. It mentions that a mismatch between the cultures of brokers and dealers can negatively impact the business...
- Broker/dealers pump up volume. GOLD, LIZ // Accounting Today;5/4/2009, Vol. 23 Issue 7, p1
The article reports that U.S. brokers and dealers are trying to keep their advisor affiliates satisfied by offering more resources and support. The entry notes that financial advisory firms are looking for ways to give affiliates more information and value by training them on asset protection,...
- Navigating the Best Route. Gallant, Dennis // On Wall Street;Sep2004 Resource Guide, Vol. 14, p18
Discusses the influence of industry changes on the career path of advisors to independence. Factors that interrupted the progression of the termination of broker-dealer relationships by advisors; Effect of the recruitment of advisors by wirehouses on independent broker-dealer firms.
- EXPLANATORY NOTES. // On Wall Street;
The article provides explanatory notes for the 28th annual survey of independent broker-dealers based on data provided by 78 participating companies. It states that the data listed for 2011 do not always match 2012 survey because some companies restated the figures they submitted in 2012....
- Regulators tightening their grip on broker/dealer world. Harrington, Cynthia // Accounting Today;3/14/2005, Vol. 19 Issue 5, p5
Talks about U.S. regulators' actions against broker/dealers that depict the image of falling dominoes. Companies that were either fined or became targets for investigation by regulators; How advisors have responded to the increased scrutiny; Overview of the allegations of American Express...
- PRESERVING THE BROKER VALUE PROPOSITION. Mayer, Igal // Canadian Underwriter;Oct2006, Vol. 73 Issue 10, p34
The article discusses the broker value proposition that involves independence, choice, professional advice and local presence from company partners in perpetuating businesses. There is a growing percentage of brokerage principals getting older, in which brokerage owners become industry leaders...