The CEO Challenges of Growth: Recruitment, Regulation and Consolidation in the Indy B-D World

April 2008
Journal of Financial Planning;Apr2008 Broker/Dealer Report, Vol. 21, p8
Academic Journal
The article focuses on the digital discussion by several chief executive officers in different financial services firms in the U.S. The discussion was moderated by Timothy D. Welsh, president of Nexus Strategy LLC, the leading consulting firm that provides strategy and marketing advice to the financial services industry. It features the issue on financial advisers working in the independent broker-dealer channel than in the traditional employee model of the wire house, bank or insurance-owned broker-dealer, and how these changes impacting independent broker-dealer business market. Exchanging of views from several chief executive officers is also presented.


Related Articles

  • Gaining ground on under-insurance. Egan, Liam // Money Management;12/7/2006, Vol. 20 Issue 46, p20 

    The article focuses on the views of the Association of Financial Advisers (AFA) chief executive Richard Klipin regarding the events that shaped the financial services industry in Australia in 2006. He talks about issues concerning the underlying reasons for under-insurance in Australia. Klipin...

  • Advisers' platform plan may create dealer headache. Kachor, Kate // Money Management;2/8/2007, Vol. 21 Issue 4, p1 

    The article reports on the potential impact of the financial advisers' plan to add financial services platforms to their existing offerings on dealer groups in Australia. In a study conducted by The Fragile Trust research firm, 54.5 percent of the advisers believe they have the ability to...

  • The money market shines.  // Money Management;4/14/2005, Vol. 19 Issue 12, p18 

    Reports on a survey indicating that fund managers are the leaders in lucrative salary packages among the financial services providers of Australia as of 2005. Lucrative remuneration enjoyed by investment specialists; Salary range of portfolio managers; Salaries of chief executive officers;...

  • A super year in financial services. Taylor, Mike // Money Management;12/7/2006, Vol. 20 Issue 46, p16 

    The article focuses on the views of Investment and Financial Services Association (IFSA) chief executive Richard Gilbert regarding the events that shaped financial planning in Australia. He believes that the effort of the IFSA on superannuation tax reform was successful. Gilbert also claims that...

  • Finan to lead Consifa drive to buy IFAs. Henshall, Angela // Money Marketing;12/2/2004, p12 

    Reports on the appointment of John Finan as chief executive of Great Britain-based independent financial adviser Consifa. Finan's related professional experience; Plan to start an aggressive acquisition program.

  • Cleaning up the Resume. K. M. // Investment Dealers' Digest;2/19/2007, Vol. 73 Issue 7, p20 

    The article discusses issues related to the importance of chief executive officers in supporting their respective companies, especially private equity firms. The role of a chief executive officer has been a debatable topic in the financial services industry. While some think that an officer...

  • Cutting Brokers, Calpers To Revamp Relationships. HINTZE, JOHN // Securities Industry News;11/10/2008, Vol. 20 Issue 39, p1 

    The article reports on the move of the California Public Employees' Retirement System (Calpers) to consolidate its institutional broker relationships to manage executing broker-dealers. The methodology is discussed together with the role of Mosaic Investment Advisors, its developer. The...

  • Independence Defined. Gallant, Dennis // On Wall Street;Sep2004 Resource Guide, Vol. 14, p14 

    Discusses the independence of financial advisors. Advisor segments that comprised the independent market; Services offered by registered investment advisors; Information on independent broker-dealers (IBD); Reasons of advisors for choosing independence; Question on the ability of IBD advisors...

  • Brokers have no need to fear IFAs. Laker, Sally // Mortgage Strategy;7/24/2006, p61 

    The article reflects on fears that the British Financial Services Authority is encouraging independent finance advisers (IFAs) to dominate on mortgage brokers territory. The author describes that FSA's announcement that IFAs should be prepared to provide holistic service is understood as an...


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics