Results for "securities america inc"

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LPL loses another big team to Securities America

November 9, 2017

Securities America Inc. has snagged another large branch of advisers formerly affiliated with National Planning Holdings, the broker-dealer network LPL Financial bought in August for $325 million. Part of the Ladenburg Thalmann Financial Services...

LPL says it's on track to recruit 70% of National Planning Holdings revenue

November 8, 2017

A number of large teams in the National Planning Holdings adviser network have moved to rivals, but LPL Financial assured investors that in the initial phase of moving advisers from two of NPH's broker-dealers, it is on track to transfer 70%...

Broker-dealers debate big data and other technology promises

November 4, 2017

How successful are​ broker-dealers in harnessing the power of big data and predictive analytics to help advisers grow their practices and retain clients? According to a panel of broker-dealer executives participating in an InvestmentNews Technology...

LPL watching $100 million in NPH production move to rivals, executives say

October 23, 2017

Three key rivals of LPL Financial are scooping up advisers affiliated with the National Planning Holdings broker-dealers who annually generate $100 million in fees and revenues, known as gross dealer concession or GDC in the industry, according...

Private equity eyes advisory firms, but at what cost?

October 18, 2017

Private equity investors have their eyes on the financial advice market, but there's a debate brewing among industry executives over the merits of using that private capital. "Here's a news flash, Charlie: the independent space has been discovered....

Dan Arnold's big gamble at LPL Financial

October 7, 2017

DAN ARNOLD, THE NEW CEO of LPL Financial Holdings Inc., is making bold moves to increase profitability at the nation's largest independent broker-dealer, and while he's pleasing Wall Street, some LPL affiliates and advisers are questioning how...

For small B-Ds, becoming part of a branch office of a larger firm is a viable exit strategy

August 25, 2017

LPL Financial's acquisition this month of the National Planning Holdings Inc. network of four broker-dealers with 3,200 reps and advisers certainly has the independent broker-dealer industry abuzz, but transactions involving smaller broker-dealers...

Top clearing and custody firms for financial advisers

August 7, 2017

CLEARING FIRMS Listed by reported number of broker-dealer clients Firm Phone/website # of clients % change vs. 2016 Contact Phone/email Pershing (800) 445-4467 714* -3.90% Michael Row (800) 445-4467 One Pershing Plaza, Jersey City, NJ 07399...

Broker-dealers are seeing a cut in annual SIPC assessments; will advisers see the same?

May 16, 2017

Broker-dealers, which loudly complain about increasing costs due to regulation such as the Department of Labor's fiduciary rule, are actually seeing one regulatory expense decrease this year: the annual assessment firms pay to the Securities...

Independent broker-dealer Triad Advisors sues former advisers

May 7, 2017

In a highly unusual move by an independent broker-dealer, Triad Advisors Inc. is suing a group of former advisers who left the firm to start their own broker-dealer. Last October, Triad sued the advisers, David Millican, Jeffrey Shaver and Joseph...

Top independent broker-dealers by revenue and payout

April 23, 2017

Top 50 IBDs ranked by 2016 revenue Bubble view By group Table view Firm 2016 revenue ($M) % change vs. 2015 2016 commission revenue ($M) % change vs. 2015 2016 fee revenue ($M) % change vs. 2015 2016 other revenue ($M) % change vs. 2015 1 LPL...

The Right Approach for Finding the Right Senior Partner

April 1, 2017

For millennials looking to launch a career as a financial advisor, it truly is the best of times and the worst of times. Demand for young professionals who can attract young clients is at an all-time high and expected to grow. On the flipside,...

Securities America to pay another $1 million to Medical Capital Holdings investors in Massachusetts

March 2, 2017

Almost six years after reaching a settlement with the Massachusetts Securities Division, Securities America Inc. will make a final payment of $1 million to investors, many of them seniors, who bought promissory notes issued by Medical Capital...

OSJs: Add Value and Increase Rep Stickiness with Well-Planned Branch Events

March 1, 2017

To attract and retain top advisors, super branches need value-add services that differentiate them from other firms. Camaraderie and peer knowledge often top the list of reasons independent advisors decide to join a branch rather than operate...

Finra's new chief Robert Cook vows to take a 'fresh look' at enforcement

January 24, 2017

Striking a conciliatory tone with broker-dealers, Robert Cook, the recently appointed head of Finra acknowledged Monday night that he'd heard loud and clear the complaints brokerage industry executives had with their principal regulator. Since...

2017 to be year of independent broker-dealer mergers

January 22, 2017

If past is prologue, 2017 should see a steady pace of independent broker-dealer consolidation and mergers and acquisitions. Last year saw transactions involving firms that house thousands of registered reps and financial advisers as the industry...

Top independent broker-dealers reveal their payout tables

January 22, 2017

The 2017 InvestmentNews independent-broker-dealer directory is based on information provided by 90 eligible firms. To be considered for future listings, contact INResearch@investmentnews.com. Visit InvestmentNews.com/bddata for more-complete...

DOL fiduciary rule hastening death of L-share variable annuities

January 11, 2017

The specter of the Department of Labor's fiduciary rule is accelerating the demise of L-share variable annuities. Variable annuities sold in an L-share class had already been reeling prior to the DOL issuing the final version of its conflict-of-interest...

Ron Carson's jump from LPL a big win for Cetera

November 18, 2016

When Robert Moore joined Cetera Financial Group in May as chairman, and later became CEO, many in the industry wondered if he would recruit head-to-head with his old employer, LPL Financial. They now have their answer. Mr. Moore and Cetera have...

Star broker, Ron Carson, is leaving LPL to jump to Cetera

November 18, 2016

Ron Carson, one of LPL Financial's best known, longest-tenured financial advisers, is leaving the firm, according to a source with knowledge of the move. Mr. Carson, whose firm Carson Wealth Management, has $7.4 billion in client assets, will...

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