Industry Spotlight > Broker Dealers

IA Broker-Dealers of the Year 2012: Call For Entries

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Which is the best independent broker-dealer for your size, requirements and business model? An incredibly important question and one that’s difficult to answer. Yet for the past 22 years, Investment Advisor’s readers have done just that, rating their own BDs in 15 different categories that reflect the BD rep’s challenges and concerns. Now, it’s the readers’ turn to once again to cast their ballots.

Investment Advisor Broker-Dealer of the YearWhat a time to be doing so; the challenges (and opportunities) seem to exponentially increase with each passing year, and 2012 is no different. Whether it’s a sluggish economy and dismal job market here at home, slowing economies across the globe, Europe’s crisis, a slew of new regulations, baby boomer retirement, the threat to the viability of smaller shops—and on and on it goes.

Who will support you in what you do best—steering your clients through it all to achieve the quality of life they’ve always dreamed of? Past winners include giants of the industry (Commonwealth, Woodbury, Cambridge) and pleasant surprises (Founders Financial, Geneos Wealth, Prospera Financial). They’ve dealt with fee compression, internet mania, global chaos and, of course, terrorist attacks, having come out of it stronger and more dynamic in their responses to each crisis and the value they then offer.

This year, voting will again take place only online from June 1 to July 1. To produce a valid ballot and ensure the integrity of the voting process, reps must provide us with their CRD numbers, their broker-dealer’s CRD number and their contact information.

Only producing reps of the 68 independent broker-dealers who responded to Investment Advisor’s 2012 Broker-Dealer Directory are eligible to vote.

A broker-dealer becomes eligible for the award only after a minimum of 10% of its producing reps as reported in the June 2012 Broker-Dealer Directory cast valid ballots.

Those broker-dealers that receive the highest marks from their own representatives will be declared Broker-Dealers of the Year in four different categories, based on the size of the broker-dealer.


View complete rules of the contest.

Read profiles of 2011′s Broker-Dealers of the Year.

View Investment Advisor’s 2012 directory of independent broker-dealers.