IA > Broker/Dealers http://www.investmentadvisor.com Copyright 2008 News, Advice, Events & Analysis for Independent Advisors & RIAs en-us http://www.investmentadvisor.com/images/ia_logo122x21.gif IA > Broker/Dealers http://www.investmentadvisor.com Fight the Power http://www.investmentadvisor.com/article.php?article=8915 Tue, 1 Jul 2008 00:00:00 -0400 Elizabeth D. Festa Finance http://www.investmentadvisor.com/article.php?article=8915 When it comes to FINRA, you may be better off battling city hall

Ever wonder whether you could take on the Financial Industry Regulatory Authority (FINRA) and actually come out better than if you had settled? The answer, according to a recent study, is yes, a decent percentage of the time, if you are willing to offset a lower penalty with the legal and psychological costs associated with litigation.

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]]> Don’t Stop Spending http://www.investmentadvisor.com/article.php?article=8916 Tue, 1 Jul 2008 00:00:00 -0400 Kara P. Stapleton Finance http://www.investmentadvisor.com/article.php?article=8916

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
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]]> NEWS & PRODUCTS, JULY 2007 http://www.investmentadvisor.com/article.php?article=8917 Tue, 1 Jul 2008 00:00:00 -0400 Finance http://www.investmentadvisor.com/article.php?article=8917

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
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]]> Auld To Head AIG Financial Advisors, American General Securities http://www.investmentadvisor.com/article.php?article=8934 Thu, 26 Jun 2008 16:05:00 -0400 Melanie Waddell Finance http://www.investmentadvisor.com/article.php?article=8934 Former president of NEXT Financial succeeds Cannon

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
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]]> Schwab Smoothes Road to Independence http://www.investmentadvisor.com/article.php?article=8858 Mon, 16 Jun 2008 09:45:00 -0400 James J. Green Finance http://www.investmentadvisor.com/article.php?article=8858 New platform for breakaway brokers

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> Pershing Adds to FundVest Platform http://www.investmentadvisor.com/article.php?article=8863 Fri, 13 Jun 2008 10:20:00 -0400 Kara P. Stapleton Finance http://www.investmentadvisor.com/article.php?article=8863 American Funds, JennisonDryden, OppenheimerFunds and Van Eck Global added to lineup

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> Further Integration at Fidelity http://www.investmentadvisor.com/article.php?article=8851 Wed, 4 Jun 2008 12:55:00 -0400 James J. Green Finance http://www.investmentadvisor.com/article.php?article=8851 RIA and B/D arms announce joint program

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> The New Model: The Fee-Only Broker/Dealer http://www.investmentadvisor.com/article.php?article=8782 Sun, 1 Jun 2008 00:00:00 -0400 Philip Palaveev Finance http://www.investmentadvisor.com/article.php?article=8782 Independent B/Ds must tackle head-on the causes of their frustration if they wish to survive

There is one overriding question for broker/dealers today: Who needs one, and why? After all, RIAs are prospering quite nicely without having to use the services of a broker/dealer. Moreover, the number one revenue source for broker/dealers in 2007 was actually advisory fees—a business that by definition does not involve a broker/dealer.

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> The B/D Custodian http://www.investmentadvisor.com/article.php?article=8783 Sun, 1 Jun 2008 00:00:00 -0400 James J. Green Finance http://www.investmentadvisor.com/article.php?article=8783

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> Independents’ Optimism http://www.investmentadvisor.com/article.php?article=8784 Sun, 1 Jun 2008 00:00:00 -0400 Kathleen M. McBride Finance http://www.investmentadvisor.com/article.php?article=8784 Broker/dealer advisory board members say things are looking up

Since the leaders of the Investment Advisor Broker/Dealers of the Year last met with the IA editorial team for an intense roundtable, in August 2007, the markets have been volatile and the economic scene turbulent, to say the least, especially for many large investment and commercial banks, some of which have taken colossal losses and been forced to raise masses of capital.

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> From a Small B/D, Regulatory and Risk Concerns http://www.investmentadvisor.com/article.php?article=8785 Sun, 1 Jun 2008 00:00:00 -0400 Finance http://www.investmentadvisor.com/article.php?article=8785

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> Transfer Time http://www.investmentadvisor.com/article.php?article=8790 Sun, 1 Jun 2008 00:00:00 -0400 Jonathan Henschen Finance http://www.investmentadvisor.com/article.php?article=8790 When decoding B/D transfer options, don’t focus on the money

For advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it’s time for a reality check.

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> Read the Fine Print http://www.investmentadvisor.com/article.php?article=8791 Sun, 1 Jun 2008 00:00:00 -0400 Finance http://www.investmentadvisor.com/article.php?article=8791

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> The Presidents Speak http://www.investmentadvisor.com/article.php?article=8792 Sun, 1 Jun 2008 00:00:00 -0400 Kathleen M. McBride Finance http://www.investmentadvisor.com/article.php?article=8792 Recruiting, building margins are top challenges for independent broker/dealers

In each of the past 15 years, Investment Advisor has asked independent broker/dealers to provide information for the IA Broker/Dealer Directory, and last year started gathering information directly from the leaders of those independent firms for an exclusive IA Presidents’ Poll. We ask for candid responses from the independent firms’ presidents on a number of topics ranging from firm and individual registered representative challenges, to which entities they believe best represent their interests on Capitol Hill and with the regulators. We asked and, once again, they answered.

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> Pinning Down Prices http://www.investmentadvisor.com/article.php?article=8833 Sun, 1 Jun 2008 00:00:00 -0400 Savita Iyer-Ahrestani Finance http://www.investmentadvisor.com/article.php?article=8833 Nasdaq rolls out a trading replay and analysis tool

It seems almost providential that at a time when financial market gyrations have been keeping broker/dealers on their toes that Nasdaq should come out with a vital tool for tracking stock market trades.

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
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]]> Risky Business http://www.investmentadvisor.com/article.php?article=8834 Sun, 1 Jun 2008 00:00:00 -0400 Finance http://www.investmentadvisor.com/article.php?article=8834

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> NEWS & PRODUCTS, JUNE 2008 http://www.investmentadvisor.com/article.php?article=8835 Sun, 1 Jun 2008 00:00:00 -0400 Finance http://www.investmentadvisor.com/article.php?article=8835

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> A New Entry With a Familiar Name Enters the Custody Business http://www.investmentadvisor.com/article.php?article=8774 Tue, 6 May 2008 10:31:00 -0400 Kara P. Stapleton Finance http://www.investmentadvisor.com/article.php?article=8774 LPL Financial to offer custodial services for own, external RIAs

LPL Financial has taken what might be considered the logical next step as the broker/dealer industry incresingly moves to the fee side of the business—becoming a custodian to non-affiliated RIAs as well as dually registered advisors. On May 5, LPL announced plans to roll out its new custodial venture in late 2008, under Gary Gallagher as executive VP and head of RIA Services.

Sponsored By:

DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> DIY Clearing, Made Easy http://www.investmentadvisor.com/article.php?article=8762 Thu, 1 May 2008 00:00:00 -0400 Savita Iyer-Ahrestani Finance http://www.investmentadvisor.com/article.php?article=8762 National Financial rolls out a self-clearing offering

Although the idea of outsourcing clearing and settlement may sound new, its premise is exactly the same as in any other area of business, and with the launch of its new self-clearing outsourcing business unit, Fidelity’s National Financial promises to do what any other outsourcing vendor does: Save time and money for self-clearing broker/dealers so that they can focus on developing their core competencies.

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DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

]]> Carbon Commerce http://www.investmentadvisor.com/article.php?article=8763 Thu, 1 May 2008 00:00:00 -0400 Kara P. Stapleton Finance http://www.investmentadvisor.com/article.php?article=8763

Sponsored By:

DWS ScudderDWS Scudder, the U.S. retail brand name of Deutsche Asset Management, provides financial advisors with a comprehensive selection of innovative investment strategies.
www.dws-scudder.com

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