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LPL Policy Change

By Jodie Papike | Oct 9, 2017

LPL Policy Change LPL adjustments that affect outside RIA’s For years there have been inconsistencies in the independent broker dealer space when it comes to outside RIA’s. Broker dealers differ vastly on whether they permit outside RIA’s, what outside custodians they allow and how much they charge on this business. LPL has been one of…

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Rogue Broker, I don’t think so

By Jodie Papike | May 16, 2017

Broker dealers response to Finra’s priority letter leaving quality advisors under the bus Back in January, Finra released their exam priority letter to broker dealers. The letter made it very clear their focus this year would be on identifying recidivist brokers or “rogue brokers”.  The letter also emphasized that they would be looking more closely…

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DOL fiduciary rule up in the air

By Jodie Papike | Apr 13, 2017

Broker Dealer changes coming regardless of how things play out with the fiduciary rule In a recent article in Investment News “DOL fiduciary rule changes not one size fits all” Jodie Papike writes that there is a great deal of uncertainty around the DOL fiduciary rule. Several of the larger broker dealers have expended a significant…

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DOL Fiduciary Rule Rollout

By Jodie Papike | Aug 9, 2016

How is the DOL Fiduciary Rule affecting advisor recruiting In a recent article in Financial Advisor Magazine and Jodie Papike is quoted talking about the state of the Independent broker dealer space and how the DOL Fiduciary Rule is affecting recruiting. She discusses the current recruiting environment by saying that as a result of…

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Cetera retention bonuses being rolled out

By Jodie Papike | Apr 7, 2016

Are the Cetera retention packages enough to keep advisors in their seats? In a recent article in InvestmentNews Jodie Papike is quoted discussing the Cetera retention packages that are currently being rolled out to existing advisors at Cetera. In total, ten broker dealers are included under the current Cetera ownership. These ten broker dealers represent…

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Cetera broker dealers up for sale

By Jodie Papike | Nov 19, 2015

In a recent article written in Investment News Larry Papike is quoted discussing the current developments within the Cetera umbrella of broker dealers.  Larry Roth, who was recently named head of Cetera Financial Group, this week, announced that they are looking for a buyer to purchase all ten of their broker dealers.   “The Cetera advisers…

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Broker Dealer upfront money

By Jodie Papike | Aug 21, 2015

Setting the reset button on broker dealer upfront money expectations Much has been written lately about the trends that are taking place in the Independent Broker Dealer space as it relates to upfront money.  In the latest story written by Jodie Papike that appeared in InvestmentNews Aug. 2015, Jodie discusses Independent Broker Dealers upfront money…

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Advisor Succession Planning

By Jodie Papike | May 21, 2015

Advisor succession Planning – Support may be closer than you think As the average advisor age continues to rise in the financial advise business, broker dealers are stepping up to help their advisors develop a plan for the future of their business. No longer does an advisor have to take on the task of evaluating…

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Independent Broker Dealer Options

By Jodie Papike | Dec 16, 2014

There is no denying the allure of the independent broker dealer environment.  For years advisors have been flocking to the Independent Broker Dealer model for a variety of reasons.  Higher compensation, freedom and the flexibility to run a business the way you see fit are just a few of the many attractive qualities the independent…

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