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.
The Human Touch in Action
First, let me state up front: I am no Luddite.