Each year since 1991, Investment Advisor has invited its readers who are representatives of independent broker/dealers to rate their own broker/dealers on a number of specific areas that are crucial to those reps’ success. Those areas–including compliance, clearing services, the timely payment of commissions, and communications with the home office–are printed on a ballot that appears in the June issue of the magazine and online from June 1 through July 1 at www.investmentadvisor.com.
To participate in the annual Broker/Dealer of the Year voting, reps fill in the ballot and can either mail it or fax it to the IA offices, or vote online. IA staff, led by Research Editor Liana Roberts, then compile those paper ballots, and merge them with those submitted online. Each broker/dealer is then placed into one of four divisions based on the number of producing reps they report to us as of April 1 of that year for our annual directory of independent broker/dealers that is published in the June issue of the magazine.