Europe, regulation, margin squeeze, market volatility, succession planning and … oh yes, the day-to-day pressures of running a business. We tick the list off so often, it’s getting a bit cliché. But as with last year, we’re not much further along in figuring out these issues. Lawsuits related to Medical Capital and other poorly thought-out products spelled trouble for certain broker-dealers last year, and a few shut their doors entirely. The field is a little less crowded, but for those doing it right, the confusion spells opportunity. With all that in mind, which broker-dealers are thriving, which are merely surviving and which are shutting their doors? We present the 2012 Broker-Dealer Reference Guide, a review of the top BDs in each major category to help you sort it all out and ensure a lasting and profitable relationship for you and your clients.
ThinkAdvisor's TechCenter is an educational resource designed to give you a competitive edge by keeping you abreast of new tech innovations and need-to-know information that can be applied to your business.
Every financial advisor has heard-since they got into the business-that the best and fastest way to grow your practice is through referrals. See what sets...
Learn how refocusing your business model help recharge your business’s value.
Focus working with mature clients including what are the characteristics of a sound goals-based investing method, how big is longevity risk, and a reevaluation of...
Oct 26, 2016
This complimentary webcast will cover charitable donations and planning, including some key year‐end tax considerations. We will provide an overview of the benefits of charitable...
Oct 20, 2016
Learn what critical roles document management serves for wealth management firms and their practical operational advice for running a viable business.
Oct 05, 2016
Some broker-dealers have already decided to exit certain lines of business and are sizing up how the rule will impact their IT and compliance budgets....