Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Succession & Valuation
By Kara P. Stapleton"Right now in the industry there's about a 20% adoption rate for independent practices or practitioners to have a continuity or succession plan in place,"...
March 01, 2009
Advise Together, Rise TogetherJ. Christopher Cooke never entertained the idea of working with his financial advisor father for fear that, he says, they "might kill each other." Similarly, Mike...
March 01, 2009
Leadership in Tough TimesImagine several dozen of the nation's top financial advisors dressed in Under Armour, getting their blood drawn by technicians in white lab coats. Throw in...
March 01, 2009
Making MagicWhen Raymond James & Associates recently named Dave Hilgendorf its Branch Manager of the Year, it didn't surprise those who work closest with him. He's known...
March 01, 2009
UBS Taps Top FAs in Texas, Shores Up U.S. Wealth ManagementWhile fierce speculation continues about the future of UBS' U.S. wealth-management operations, the Swiss-based firm added 274 advisors in the fourth quarter of 2008 and...
March 01, 2009
Editor's Note: For Your ConsiderationAs editor of this magazine and someone who's been covering the independent advice industry for more than 10 years, I sit in an interesting spot....
March 01, 2009
IA Interview: Changing of the Guard, Sort OfAt the recent Financial Services Institute conference in San Antonio in January, an experienced executive from a Massachusetts-based broker/dealer suggested that the CEO of his...
February 23, 2009
Wachovia FAs Get New Name, But No Traditional Retention PlanAfter completing its merger with Wells Fargo, Wachovia outlined its retention and branding efforts to advisors on February 20: Retention bonuses are not being offered, and the advisors will be renamed Wells Fargo Advisors in May.