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  • Purchased Electives

  • 2012 Report Identifies Top Five Challenges For Broker-Dealers Along With Industry Trends And Best Practices

  • AARP Joins Fiduciary Debate Alongside CFP Board, Financial Planning Association, And Other Consumer And Professonal Associations To Oppose Broker/Dealers And SIFMA

  • Advisor Group's FSC, Royal, And SagePoint B/Ds To Use Docupace For Document Management

  • AIG Advisor Group Gets Aggressive About "Open Architecture" As A Differentiator

  • Ameriprise Close To A Deal With Securities America Clients?

  • Ameriprise Moves To Console Shareholders...But The Stock Has Weathered The Securities America Situation Quite Well

  • Another Brokerage Firm Tied To Provident Royalties Shuts Down

  • Are The Wirehouses That Eager To Explore Independent Models, Or Will Profit Remain The Main Motive?

  • Are You Really “Independent” Before You Have Your Own RIA?

  • California Workers Compensation Firm Decides Independent Reps Are Employees After All

  • CapWest, Another Broker-Dealer That Sold Private Placements, Winds Down Its Business

  • Cerulli Warns Of "Warnings" Ahead For Already-Shrinking Wirehouses

  • Commonwealth Adds Broadridge's Forefield Applications To Research Package At No Cost To Advisors

  • Don't Expect LPL To Buy A "Discounted" Securities America

  • Dually Registered Advisors Are More Complicated, But Are The Best Solution For Many Advisors Going Independent Or Considering Starting An RIA

  • Edward Jones Adds UMAs To Its Advisory Platform

  • Financial Services Institute Clarifies Its Use Of "Independent Financial Advisor," Stance On RIA SRO

  • Financial Services Institute Now Speaks For 35% Of Independent Broker-Dealer Channel

  • Financial Services Institute Still Growing

  • Find A B/D That Fits In A World Where One-Size Does Not Fit All

  • FINRA Conducting Swath Of Investigations To Get To Know Broker-Dealer Practices

  • For Elite Advisors, Relationship Development Extends Beyond Clients To Firm Management

  • Industry Group Fighting California's Efforts To Generated Added Paperwork For All Independent Contractors

  • Investors Want "Objectivity" From Advisors, But They Don't See That As Being The Same As "Independence"

  • Is First Allied Securities Splitting With Its Corporate Parent?

  • LPL Beats The Industry On Recruiting, Touts RIA Growth In Its Latest Earnings

  • LPL Seen Getting Securities America Reps If Not The Firm Itself

  • LPL's Prodigal Top Producer Returns As Plans To Start New Brokerage Firm Fizzle

  • LPL's Top Broker Breaks Away To Stay Ahead Of Competitors

  • More Legal Pain For Securities America, Other Private Placement Brokers

  • New Fidelity Study Shows Advisory Teams Make Significantly More And Manage Almost Twice As Many Assets As Solo Practitioners

  • North Carolina's SECU Brokerage Cleared Of Real Estate Suitability Charge

  • Old Unsuitable Securities Sales Finally Catch Up With LPL

  • Private Placements Claim Another Brokerage Firm?

  • Pro-IBD Financial Services Institute Expands Its Lobbying "War Chest"

  • Raymond James Not Eager For M&A Either - Who Will Buy Securities America?

  • Ripple Effect From Madoff-Stanford Era May Touch Advisors As Well As Clients

  • S&P Warns It Could Get Bumpy For Brokers, But Thinks Independents Will Hold Up OK

  • Scathing Column On Securities America Sales Practices By Minneapolis StarTribune Is Blind To Ameriprise's Mistakes

  • Securities America Is Indeed Up For Sale As Ameriprise Quits The Independent Channel

  • Small Independent Broker-Dealers Are Facing Growth Challenges

  • Social Media Adoption By RIAs and Broker/Dealers

  • Summit Investigates Former Affiliate For Potential Embezzlement

  • Ted Charles Gets $14 Million Transition Out Of Investors Capital

  • Think Outside the Box and Negotiate a Better Deal

  • Tiburon Advisors Discounts The Prospect Of Another Brokerage Firm Buying Investors Capital

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You'll be emailed a discount coupon for $30 off the CFP® Ethics Class after signing up for A4A's $120 annual membership, featuring Fritz Meyer, Bob Keebler, and Craig Israelsen.
 

 

Free 1 CE Credit Class

 

No-Risk Free Trial

 

 

Receive a certificate of completion and 1 CE credit on-demand  anytime in the next seven days.

 

If you like the class, you’ll have the option to sign up for our Quarterly Financial History Course at a 25% one-year discount.