Advisor Group in Talks to Acquire Smaller B/D
Jun 07, 2011
Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing, said Larry Roth, president and CEO of Advisor Group, which includes IBDs FSC Securities Corp....
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Concentrated ETFs
Jun 07, 2011
PowerShares QQQ (QQQ) has been racing ahead. During the past five years ending March, the ETF has returned 7 percent annually, outdoing the average large growth mutual fund by 4 percentage points, according to Morningstar. Investors have taken...
Wall Street Brokerages Set For More Advisor Defections?
Jun 06, 2011
Another wave of financial advisor defections could be just around the corner, says an Aite Group report. Switching for big signing bonuses spiked during the recent financial crisis when Wall Street’s biggest brokerages merged or were...
Financial Advisories In Hiring Mode, but Talent is Scarce
Jun 06, 2011
Financial advisory firms are gearing up to do more hiring in the months to come, according to a recent Fidelity Investments survey. But adding staff this year may be trickier than just posting ads and waiting for the resumes to pour in. Two...
The New Due Diligence
The New Due Diligence
Jun 06, 2011
Due diligence has come a long way since the financial crisis of 2008-2009. Indeed, back then, the due diligence process of one Southeast broker/dealer consisted of looking at what products other big b/ds were putting on their platforms and simply...
Another IBD Implodes, Victim to Private Placement Claims
Jun 03, 2011
Independent broker/dealer Harrison Douglas Inc. has filed with the Financial Industry Regulatory Authority and the Securities and Exchange Commission to terminate its registrations and close the firm, after it was “unable to pay an adverse...
Brokers Grade Their IBDs in Registered Rep.'s First Annual Broker Report Card
Jun 03, 2011
LinkedFA Hooks Up with Reuters to Offer Members News
Jun 03, 2011
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Advisors Brace for Slow Months Ahead
Jun 02, 2011
Advisors are expecting the summer doldrums to kick in for the stock market and the economy over the next few months, according to Rydex|SGI’s Advisor Confidence Index. The index, which surveys 150 RIAs on their views of the U.S. economy and...
America's Top Independent Brokerages
America's Top Independent Brokerages
Jun 02, 2011
With the breakaway broker debate raging, and smaller independent b/ds imploding all over the place, we launched our first Independent Broker/Dealer Report Card survey.
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