FSI Boosts Lobbying on Federal, State Levels
With 10 staffers working the federal and state beats—and three more to be hired this year—the FSI is flexing its advocacy muscles.
2014 Broker-Dealers of the Year—Scenario 4: Women and the Aging Advisor
The Broker-Dealers of the Year explore how they bring in younger advisors and female advisors, and how the aging advisor workforce can be reversed.
2014 Broker-Dealers of the Year—Scenario 3: SEC Imposes Fiduciary Standard on Reps
How would top BDs handle this scenario? "In many ways," says Eric Schwartz of Cambridge, "we're in a fiduciary world already."
2014 Broker-Dealers of the Year—Scenario 1: Must BDs Acquire to Grow?
In an age of consolidation, what questions do independent broker-dealer leaders ask when a competitor comes up for sale? And do IBDs really need to acquire to grow their firms? Is there another way?
2014 Broker-Dealers of the Year—Scenario 2: Keeping Your Top Producers
How do broker-dealer leaders respond when a top producer asks for a product that the compliance deparment doesn’t like?
Announcing the 2014 Investment Advisor Broker-Dealers of the Year
In 24th annual voting by their own independent BD reps, Prospera Financial, Questar Capital, The Investment Center and Cambridge Investment Research lead the pack.
Advocates: The 2014 Broker-Dealers of the Year
The 2014 Broker-Dealers of the Year are unabashed proponents of the independent BD model and, yes, their own firms.
FSI Adds Five Broker-Dealers to Its Rolls
FSI announced on Thursday that a number of independent broker-dealers have now made their advisors members of the advocacy organization.
Investment Advisor’s 2012 Broker-Dealers of the Year—David Stringer: Video
Editor-in-Chief John Sullivan talks to the president of Prospera Financial Services and Division I winner of the 2012 Broker-Dealers of the Year about personalized service and working efficiently with fewer resources.
2012 Broker-Dealers of the Year—Slideshow
There are some familiar faces and a new contender among the 2012 winners.