IBDs http://wealthmanagement.com/taxonomy/term/39421/more en Mark Casady: How the DOL's Fiduciary Rule Could Be Improved http://wealthmanagement.com/industry/mark-casady-how-dols-fiduciary-rule-could-be-improved <div class="node-body article-body">LPL Financial's CEO and Chairman Mark Casady explains where LPL Financial stands on the DOL's re-proposed fiduciary rule and how the regulation could impact the industry. </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/industry/mark-casady-how-dols-fiduciary-rule-could-be-improved" target="_blank">read more</a></p> http://wealthmanagement.com/industry/mark-casady-how-dols-fiduciary-rule-could-be-improved#comments IBDs Industry Regulation & Compliance Mon, 29 Jun 2015 09:20:00 +0000 930971 at http://wealthmanagement.com SSN Adds $430M New York-Based Firm http://wealthmanagement.com/people/ssn-adds-430m-new-york-based-firm <div class="field-byline"> Sam Naimi </div> <div class="node-body article-body"><p>The Horizon Group, a Rochester, N.Y.-based firm with $430 million in client assets, joined Securities Service Network on Tuesday.</p></div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/people/ssn-adds-430m-new-york-based-firm" target="_blank">read more</a></p> http://wealthmanagement.com/people/ssn-adds-430m-new-york-based-firm#comments IBDs People Tue, 09 Jun 2015 21:02:00 +0000 919521 at http://wealthmanagement.com When You Don’t Know What You Don’t Know http://wealthmanagement.com/ibds/when-you-don-t-know-what-you-don-t-know <div class="field-byline"> Paul Dalton </div> <div class="field-deck"> Key Technology Issues You Need to Consider When Going Independent </div> <div class="node-body article-body">Advisors going independent have to contend with many challenges, but choosing the right solutions for technology and compliance can be among the most daunting.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/ibds/when-you-don-t-know-what-you-don-t-know" target="_blank">read more</a></p> http://wealthmanagement.com/ibds/when-you-don-t-know-what-you-don-t-know#comments IBDs Technology Fri, 05 Jun 2015 14:08:00 +0000 917061 at http://wealthmanagement.com moodboard/moodboard/Thinkstock Pershing Becomes First Custody/Clearing Firm to Use Vestorly http://wealthmanagement.com/technology/pershing-becomes-first-custodyclearing-firm-use-vestorly <div class="node-body article-body">New York-based Vestorly has landed its first custody/clearing firm and largest client yet, with Pershing putting the start-up’s digital content marketing tool on its NetX360 technology platform this week.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/technology/pershing-becomes-first-custodyclearing-firm-use-vestorly" target="_blank">read more</a></p> http://wealthmanagement.com/technology/pershing-becomes-first-custodyclearing-firm-use-vestorly#comments IBDs Technology Tue, 02 Jun 2015 19:11:00 +0000 911871 at http://wealthmanagement.com <p>Vestorly CEO Justin Wisz</p> FINRA Marketing BrokerCheck http://wealthmanagement.com/blog/finra-marketing-brokercheck <div class="node-body blog-body">Many investors don’t know what the Financial Industry Regulatory Authority’s BrokerCheck website is, but that’s about to change.</div> <div class="field-content-focus"> <span>Content Classification:&nbsp;</span> Curated </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/daily-brief">The Daily Brief</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/finra-marketing-brokercheck" target="_blank">read more</a></p> http://wealthmanagement.com/blog/finra-marketing-brokercheck#comments IBDs Industry Blogs Marketing The Daily Brief Tue, 02 Jun 2015 09:00:00 +0000 910451 at http://wealthmanagement.com Stifel In Lead to Buy Barclays' U.S. Wealth Unit - Sources http://wealthmanagement.com/ibds/stifel-lead-buy-barclays-us-wealth-unit-sources <div class="field-byline"> Lauren Tara LaCapra and Jessica Toonkel </div> <div class="node-body article-body">Investment bank Stifel Financial Corp (SF.N) is in advanced negotiations to acquire Barclays Plc's (BARC.L) U.S wealth management unit, according to three people familiar with the situation.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/ibds/stifel-lead-buy-barclays-us-wealth-unit-sources" target="_blank">read more</a></p> http://wealthmanagement.com/ibds/stifel-lead-buy-barclays-us-wealth-unit-sources#comments IBDs Industry Mon, 01 Jun 2015 16:04:00 +0000 909921 at http://wealthmanagement.com Top Questions to Ask When Considering a New IBD Partner http://wealthmanagement.com/business-planning/top-questions-ask-when-considering-new-ibd-partner <div class="field-deck"> Just as advisors care about their clients and have a vested, personal interest in their success, there should be parallel relationship between the IBD and the advisor. </div> <div class="node-body article-body">Just as advisors care about their clients and have a vested, personal interest in their success, there should be parallel relationship between the IBD and the advisor.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/business-planning/top-questions-ask-when-considering-new-ibd-partner" target="_blank">read more</a></p> http://wealthmanagement.com/business-planning/top-questions-ask-when-considering-new-ibd-partner#comments IBDs Business Planning Careers Mon, 01 Jun 2015 15:00:00 +0000 909841 at http://wealthmanagement.com XiXinXing/iStock/Thinkstock Next Regulators Will Be Asking to See Text Messages http://wealthmanagement.com/blog/next-regulators-will-be-asking-see-text-messages <div class="node-body blog-body">Examiners regularly ask to see email and website records, but that's about to change. Smarsh's CEO predicts in just a few years, reviews of text messages could be commonplace. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/next-regulators-will-be-asking-see-text-messages" target="_blank">read more</a></p> http://wealthmanagement.com/blog/next-regulators-will-be-asking-see-text-messages#comments IBDs Industry Blogs Regulation & Compliance Rulebook Thu, 28 May 2015 12:00:00 +0000 906891 at http://wealthmanagement.com Another Small B/D to Close Up Shop http://wealthmanagement.com/ibds/another-small-bd-close-shop <div class="node-body article-body">More small broker/dealers are finding it is too much of a headache to run a small operation and remain profitable. So while several are closing up shop, many of their principals are finding new homes at some of the larger independent broker-dealers.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/ibds/another-small-bd-close-shop" target="_blank">read more</a></p> http://wealthmanagement.com/ibds/another-small-bd-close-shop#comments IBDs Regulation & Compliance Tue, 26 May 2015 19:08:00 +0000 905091 at http://wealthmanagement.com Casady: Better DOL Rule Needs Only 'A Couple' Of Improvements http://wealthmanagement.com/blog/casady-better-dol-rule-needs-only-couple-improvements <div class="node-body blog-body">The head of LPL Financial praised the Department of Labor’s changes in its re-proposed fiduciary rule aimed at financial advisors, saying “just a couple of items to improve from here.”</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/casady-better-dol-rule-needs-only-couple-improvements" target="_blank">read more</a></p> http://wealthmanagement.com/blog/casady-better-dol-rule-needs-only-couple-improvements#comments IBDs Industry Blogs Regulation & Compliance Rulebook Thu, 21 May 2015 20:26:00 +0000 901931 at http://wealthmanagement.com