Ready, Set, Select

Schulaka, Carly
April 2009
Journal of Financial Planning;Apr2009 Independent Broker-Dealer, p3
Academic Journal
In this article the author discusses aspects of the business model based on the activities of an independent broker-dealer. This option is under consideration in opposition to the use of a discount retail brokerage house with branch offices or a registered investment adviser. A number of topics are addressed in the article including the large number of independent broker-dealers available in the United States, the role of technology in the profession and the importance of significant business communication.


Related Articles

  • High Time to Sell. Clark, Bob // Financial Planning;Jan2002, Vol. 32 Issue 1, p118 

    Focuses on the state of the market for financial advisory practices in the U.S. as of January 2002. Reasons for the stability of the financial advisory practices market; Factors that contributed to the robust market for financial advisory; Role of financial advisers in the status of the...

  • Serving the Underserved: Is There a Professional Obligation? Opiela, Nancy // Journal of Financial Planning;Jun2000, Vol. 13 Issue 6, p76 

    This article describes various pro bono work that U.S. financial planners offer to their clients. Spring Leonard, a certified financial planner of SBL Financial Enterprise in Norfolk, Massachusetts, often offers help free of charge. Certified Financial Planner Board of Standards Inc. president...

  • THE HIRING FRENZY. Garver, Rob // Bank Investment Consultant;Apr2007, Vol. 15 Issue 4, p16 

    The article reports on the intense recruitment by financial services firms of the U.S. of competent advisors to handle the boomer's retirement in 2007. Both bank investment programs and warehouses reportedly now compete over experienced advisors because the temporary expansion in the number of...

  • New Rules May Require Some Investment Advisers to Register with the SEC for the First Time. Lang, Richard A.; Laurenson, Edwin C.; Schubert, Elizabeth M. // Venulex Legal Summaries;2005 Q4, p1 

    The article reports on the adoption of regulations and related interpretive positions that will require certain investment advisers to register with the U.S. Securities and Exchange Commission for the first time under the Investment Advisers Act of 1940. The Act defines an investment adviser as...

  • The Ideal Client. Butler, Simon // On Wall Street;May2005, Vol. 15 Issue 5, p62 

    Explains that small business owners in the U.S. are the best clients of investment advisors and brokers. Financial services needs of small business owners; Estimate on the number of small business owners in the country in 2003, according to the U.S. Small Business Administration; Focus of...

  • The Best of BOTH WORLDS. Polyak, Ilana // On Wall Street;Sep2011, Vol. 21 Issue 9, Special section p6 

    The article focuses on several U.S. financial advisors that have created a niche in a wire house. While some advisors have been going into independence, some advisors were able to establish their own relationships and invest their clients' funds in their trademark styles through wire houses. The...

  • Marketing Is Everyone's Job.  // Investment Advisor;Nov2009, Vol. 29 Issue 11, p88 

    The article presents several strategic marketing initiatives for investment advisors in the financial services industry in the U.S. It highlights significant aspects that would aid young advisors to be motivated in marketing and in attracting new clients and grow their revenues. Among these...

  • The Five Types of Leadership for Advisors. SCLAFANI, RAY // Investment Advisor;Jun2010, Vol. 30 Issue 6, p132 

    The article discusses the five types of leadership for financial advisors in the U.S. It claims that leadership for financial advisors manifests itself in different areas which include brand leadership, altruistic leadership, and business leadership. It defines leadership as a relationship and...

  • SETTING THE AGENDA for America's Financial FUTURE. Pachetti, Nick // Money;Fall2002, Vol. 31 Issue 11, p77 

    Discusses how financial services firms are meeting the challenge of a marketplace in turmoil. Focus of the first annual MONEY Summit; Views of financial advisers, New York State attorney general Eliot Spitzer, and others; Concerns that were expressed.


Read the Article


Sign out of this library

Other Topics