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Broker Dealer Compliance

By Jodie Papike | Sep 26, 2013

Is your broker dealer’s compliance department working for or against you? There is no question that today’s regulatory environment has put a tremendous strain on broker dealers’ compliance departments.  Broker dealers are faced with walking a tight rope on keeping advisors and regulators satisfied.  From my experience in talking to advisors across the country, some…

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Hybrid broker dealers attracting more advisors

By Jodie Papike | Sep 10, 2013

Hybrid Broker Dealers Gaining Steam! As the trend continues toward advisors wanting more flexibility with their broker dealers, more firms are developing hybrid platforms in order to attract and retain advisors.  Many advisors who are considering breaking away completely from a broker dealer or are interested in setting up their own RIA are being lured…

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Finding the best broker dealers for your practice

By Jodie Papike | Aug 28, 2013

Best Broker Dealers for you and your business With thousands of broker dealers out there, advisors serving a particular niche are often surprised to hear that there is a firm out there that suits their particular business needs to a tee. Broker dealers are far from “one size fits all,” yet I have found that…

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Finding a Broker Dealer after a Termination

By Jodie Papike | Jul 12, 2013

Finding a broker dealer quickly and strategicly is crucial in eleviating your down time   In past years, we have seen countless advisors devastated by unexpected terminations by their broker dealers. While most terminations could have been predicted, some come as a huge surprise, leaving the advisor out business, in shock and lost as to what to do…

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Choosing a Broker Dealer

By Jodie Papike | May 31, 2013

Over the past 24 years we have helped thousands of advisors change broker dealers.  One of the major things we have learned through all of these transitions is just how important it is to align with a broker dealer that suits your specific niche.  It is absolutely true that broker dealers are not all “one…

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Broker Dealer Recruiting Tough First Quarter

By Jodie Papike | Apr 29, 2013

In a clear sign that recruiting for the Independent broker dealer marketplace was slow in the first quarter of 2013, LPL released its earnings report showing they had recruited 115 new financial advisors.  It is commonly thought that financial advisors change broker dealers at a higher rate when the markets are flat.  The continued progress…

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Independent Broker Dealers Ramping Up The Game

By Jodie Papike | Apr 10, 2013

The independent broker dealer space has all the elements of a high-adventure video game this year, and only the most advanced players may be up for the challenge. Anticipating and navigating regulations is growing more daunting while shrewder strategies are needed to prevent profits from imploding under mounting costs. Broker dealers must also have quicker…

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Broker Dealer Compliance

By Jodie Papike | Mar 14, 2013

Roughly one-third of the advisors we see changing broker dealers, either on their own accord or as a result of being terminated, leave as a result of a conflict or miscommunication with their compliance department. While many advisors try to stay off their broker dealer’s compliance department’s radar, we feel it’s actually critical for advisors…

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Understanding financial advisors upfront compensation

By Jodie Papike | Feb 26, 2013

In light of the recent FINRA Regulatory Notice 13-02 that would require advisors to disclose recruiting incentives to their clients, we discuss in our article in Investment News how enhanced advisor compensation packages are structured at various independent broker dealers, and what advisors need to be aware of. While advisors can benefit from incentives such as…

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