Results for "regional brokerages"

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Erinn Ford named president of Cetera Advisors

May 21, 2014

Cetera Financial Group continues to shake up its management lineup, promoting Erinn Ford to president of one of its broker-dealers, Cetera Advisors. Most recently, Ms. Ford was senior vice president of adviser relations for Cetera Advisors,...

Ranking how indie B-Ds have fared since the financial crisis

May 21, 2014

Indie B-D stock prices vs. S&P indexes Five years ago, the sky was falling on the independent broker-dealer industry. After the credit crisis and the stock market crash that followed the Lehman Brothers Holdings Inc. bankruptcy in September...

Finra holds off sending nontraded REIT share price rule to SEC

May 20, 2014

Finra is delaying sending proposed new rules to the Securities and Exchange Commission that would give investors a clearer picture of what it costs to buy shares of a nontraded real estate investment trust. The Financial Industry Regulatory...

Broker-dealers with the highest percentage of revenue from alts - IBDs reaping rewards from alts sales

May 1, 2014

Independent broker-dealers saw an increasing percent of their revenues derived from the sale of alternative investments, namely nontraded real estate investment trusts, in 2013. Indeed, the $20 billion per year IBD industry saw alternative revenues...

Is Nicholas Schorsch's RCS Capital the new LPL?

April 27, 2014

Nicholas Schorsch relishes mentioning his hard-charging and fast-changing broker-dealer, RCS Capital Corp., in the same breath with industry powerhouse LPL Financial. At an investor presentation in January for RCS Capital, commonly referred...

Adviser tech: Big data, gameification are next

April 27, 2014

Everett James (E.J.) Sutherland, Commonwealth Financial Network's chief information officer, is no stranger to the world of technology, but he's a relative newcomer to the broker-dealer universe. After beginning his information technology career...

Independent broker-dealers poised to keep roaring in 2014

April 27, 2014

These are heady times for the independent-broker-dealer industry, which came roaring back to life in 2013 and is poised for another strong year, despite the broad market's recent volatility. Overall, 2013 saw a return to double-digit revenue...

Let's keep perspective on high-frequency trading

April 27, 2014

Michael Lewis' book “Flash Boys: A Wall Street Revolt” (W.W. Norton & Co., 2014) has provoked a wave of media coverage regarding high-frequency trading. This public dialogue has the potential to shed light on important issues facing our...

Brokerages toss around ideas about salary for Next Gen advisers

April 24, 2014

As the brokerage industry considers replenishing its ranks, some firms are testing new pay models that emphasize salary more than commissions. “We're trying some things in pilots going on with a lot of success in certain models that look different...

Raymond James reports strong quarter in private-client group

April 23, 2014

Raymond James Financial Inc. reported record revenue and pretax income in its private-client group for its fiscal second quarter that ended in March. Net revenue for the quarter reached $812.2 million, up 12% from the prior year's second quarter,...

Sterne Agee Group in deal to acquire midsize independent broker-dealer WRP Investments

April 10, 2014

Broker-dealer mergers and acquisitions continue to sizzle as Sterne Agee Group Inc. Thursday is expected to announce the purchase of a midsize independent broker-dealer, WRP Investments Inc. David Pintaric, president and second-generation owner...

Account opening is No. 1 tech concern: Survey

April 2, 2014

The challenge of capturing account-opening data has replaced social-media archiving as advisers' primary technology concern, according to a survey conducted by advisory think tank Beacon Strategies. In fact, 96% of the 55 broker-dealers surveyed...

Newborn Lebenthal RIA triples its assets but expects more to come

March 27, 2014

Lebenthal Holdings stands to triple the size of its new wealth management unit with the acquisition of the business of two Morgan Stanley brokers who manage $1.2 billion in assets. But that's just the beginning, if the CEO has his way. If a...

Where your young boomers prospects are going for advice

March 13, 2014

With nearly half of young baby boomers now using self-directed investment platforms, the traditional advisory model used by wirehouses is facing a dual threat from discount brokerages and electronic registered investment advisers — the so-called...

Woodbury Financial Services promotes Rick Fergesen to president and CEO

March 4, 2014

Rick Fergesen, a veteran of Woodbury Financial Services Inc., has been named president and chief executive of the broker-dealer. The firm had been looking for a new chief executive since December, when Pat McEvoy resigned. Woodbury is one of...

Edward Jones settles cold-calling case for $750,000

February 26, 2014

Cold calling – a once-popular method of prospecting clients – was dealt another blow in a settlement with the New Hampshire Bureau of Securities Regulation. Edward Jones has agreed to pay $750,000 to resolve claims that it unlawfully solicited...

A whirlwind week of conferences

February 2, 2014

I definitely earned my frequent flyer miles last week. On Monday, I made my way down to our nation's icy capital to attend the Financial Services Institute Inc.'s big gathering of independent broker-dealers and financial advisers. As usual,...

Edward Jones revamps recruiting to focus on wirehouses

January 21, 2014

Edward Jones has been fighting back against wirehouses with some new moves of its own. The fourth-largest broker-dealer firm with about 13,000 financial advisers has spent the past two years trying to shift its focus and market itself as an...

Southwest Securities could be sold to big shareholder

January 10, 2014

SWS Group Inc., the parent company of Southwest Securities Inc., on Friday confirmed that its board had received a takeover bid from one of its biggest investors, Hilltop Holdings Inc. Hilltop, which owns a bank, a mortgage lender and another...

Finra fines Stifel, Century Securities $1M on complex ETFs

January 9, 2014

Broker-dealer Stifel Nicolaus & Co. and its subsidiary, Century Securities Inc., have agreed to pay more than $1 million in fines and restitution related to the sale of nontraditional exchange-traded funds. The Financial Industry Regulatory...

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