Broker Dealers For Independent Reps

Although there are many independent broker-dealers in the marketplace today,

some of the largest and most well-known firms include LPL Financial (LPLA), Raymond James (RFJ), Royal Alliance,...

RepRecruit, LLC was founded in 2009, and we partner directly with the Execut

ives of over 50 of the top independent broker/dealers in the industry. Our mission is to provide our clients- advisors and financial representatives, with a completely unbiased look at the best independent broker-dealers in the business based on the advisor’s needs.

RepRecruit is a recruiting, placement and consulting firm serving Financial

Representatives, Registered Investment Advisors and the top ranked Broker/Dealers across the United States. Our experience in the independent broker/dealer and registered representative industry provides us expert perspective and access to a vast network.

PEAK Reps, LLC is a holding company for Peak Brokerage Services (independent

broker-dealer), BlackRidge Asset Management (registered investment adviser) and Top Advisors Group (insurance marketing group). The founding group ascribes to an entrepreneurial spirit where reps encourage and assist other reps to achieve their full potential.

Top 20 Independent Broker/Dealers. Firm: Producing Reps Average Payout Recru

iting Executive Clearing Firm Parent Co LPL FinancialSan Diego, Calif., (888) 250-2420www.joinlpl.com 11,089 $195,000 ...

The largest independent broker-dealers at first glance can seem like a motle

y variety of businesses. But take a deeper look. Their outsize impact on wealth management adds up to tens of billions ...

Reps $100K-$499K reps $500K+ reps ... Purchase the complete set of our indep

endent broker-dealer data and profiles in an Excel spreadsheet. For comments or suggestions about the BD Data Center, please contact us. Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property ...

The largest independent broker-dealer in the field continues to be LPL Finan

cial, which had gross revenues of over $5.6 billion in 2019. Its gross profits were about $2.2 billion, and its net...

Certainly smaller independent broker/dealers seem to be having a harder time

. We recently saw one smaller IBD dissolve the firm, and the reps all signed up with Cetera as an OSJ.

An independent broker-dealer for today's investment professional. Advanced t

echnology, simple, transparent pricing, and flexibility to support independent RIAs, investment advisors, registered representatives, and investors.

In 2010, out of the 20 broker dealers, reported to have gone out of business

, 9, or 45% had no retail reps[8]. When referring to broker dealers closing down, these firms should be segregated from the data to show a more accurate picture of the retail broker dealer landscape and to help us better understand how the retail IBDs are doing ...

Investment news and analysis for financial advisers. Extensive coverage and

expert comment on important topics in the financial advisory industry.

While this is true for many firms, the independent broker-dealer with nearly

double the number of producing representatives of any other firm, LPL Financial, has also generated more revenue than...

The deal would add around 900 independent brokers and 385,000 customers to C

etera Advisor Networks, one of five independent broker-dealers under the umbrella of El Segundo, California-based Cetera ...

Independent broker-dealers function as full-service brokerage firms but rema

in free from the constraints and demands of a large Wall Street company. RIAs are independent fiduciaries who may...

New York – After a banner year for recruiting advisers in 2005, many indep

endent-contractor broker-dealers saw the growth in snagging new registered representatives stall last year.. Recruiting was flat or down in 2006, compared with its momentum a year earlier, according to brokerage executives, recruiters and consultants, who nonetheless are optimistic about this year.

Top Independent Broker Dealers. Broker Dealer Change is a nationwide, recrui

tment firm exclusively for financial advisors. We specialize in the placement of financial advisors with top independent broker dealers. With our vast network of Independent Broker Dealers we are able to assist our clients regionally and nationally.

Your Local Independent Securities Broker Dealer Morris Group Inc. is an inde

pendent securities broker dealer located on the north side of Indianapolis with registered representatives throughout Indiana. Morris Group Inc. has been serving Indiana clients and their advisors since 1985.

FINRA’s 2018 figure for the total number of broker-dealers is 3,608, which

is down from 3,727 in the prior year. The full count of registered representatives was 630,132 in 2018 vs. 629,847 in 2017.

to Work with an Independent Broker Dealer If you’re like most of the reps

we speak with, you just might already be more independent than you realize. Many reps before you have discovered that true independence is the only logical next step.

Broker/Dealers - Brokerwebstation has an array of investment products for as

set allocation... and they're ALL APPROVED by the regulatory bodies. Among the of...

TOP INDEPENDENT BROKER-DEALERS 2021. 2021-02-13 03:04:57. The InvestmentNews

Broker-Dealer Data Center provides all the information registered reps need to make informed choices as they move around the industry, from firm payouts and product offerings to financial data and affiliation fees.

The independent broker-dealer (IBD) business model focuses on offering finan

cial solutions to the “main street” clients that form the backbone of America’s investor class.

When you work with Sovereign Global Advisors you get a relationship with an

independent broker-dealer that puts a tremendous amount of effort and attention on each of its reps. Our goal is to help you succeed, and that is always our top priority from our first conversation with you, through your transition, and on as an active rep working with us.

Many broker-dealers, both large and small, associate with registered represe

ntatives as independent contractors instead of employees. Although this business model is attractive for many reasons, like decreased overhead for the member firm, it potentially creates a headache when it comes to supervision.

Our clients leverage our experience in the Independent Broker Dealer landsca

pe to find a firm that best suits their needs. The Independent Broker Dealer environment is complex and ever changing. Keeping up with broker dealers and understanding what they bring to the table is all we do. Leverage our Experience. Save time. Get results.

Peak Reps, LLC is one of the top independent broker dealers that can help yo

u with your marketing. Contact us to improve your business.

Reps $100K-$499K reps $500K+ reps ... Purchase the complete set of our indep

endent broker-dealer data and profiles in an Excel spreadsheet. For comments or suggestions about the BD Data Center, please contact us. Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property ...

Registered Representatives Broker/Advisor Solutions. Discover how to obtain

the maximum support for your business as an independent registered representative of Mid Atlantic Capital Corporation (a registered broker/dealer), and if you conduct fee business, also as an Investment Advisor Representative of Mid Atlantic Financial Management, Inc., a registered investment advisor (RIA).

When it comes to finding the right independent broker-dealer for you and you

r clients, we know you have many choices — large, small, boutique, wirehouse or insurance-based?. At Securities America, we offer a balance of leading-edge technology and services associated with larger broker-dealers plus the personal people-focused culture financial professionals at small broker-dealers enjoy along ...

The SEC continually performs quality control reviews of FINRA’s examinatio

ns of Broker-Dealers and Reps to evaluate how well the securities rules are being enforced.

D. Brokers and Dealers Generally Must Register with the SEC. Section 15(a)(1

) of the Act generally makes it unlawful for any broker or dealer to use the mails (or any other means of interstate commerce, such as the telephone, facsimiles, or the Internet) to "effect any transactions in, or to induce or attempt to induce the purchase or sale of, any security" unless that broker or dealer is ...

FINRA is responsible for regulating every broker and brokerage firm doing bu

siness with the U.S. public. The selected statistics below are updated on a regular basis. Key Statistics for 2019; Regulatory Actions and Corporate Financing Review 2015 – 2019; Current Registration Statistics Through December 2019

A large segment of financial advisors who do not wish to be completely tied

to an Independent Broker Dealer or an RIA have the option to operate as a hybrid advisor. This advisor is dually ...

Purchase the complete set of our independent broker-dealer data and profiles

in an Excel spreadsheet. For comments or suggestions about the Adviser Center, please contact us. Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws.

Classification of Registered Representatives of Independent Broker-Dealers a

s Independent Contractors is Justified. The independent broker-dealer (IBD) business model focuses on offering financial solutions to clients who constitute the backbone of America’s investor class.

CFG is the 2nd largest network of independent broker-dealers in the country

with approximately 8,000 independent registered reps. What sets Summit apart is service, and our commitment to maintain a culture among our home office associates to provide the highest standard in personalized boutique service to our financial professionals and their ...

The Broker Dealer Listing serves as an intermediary to help facilitate the p

urchase, sale and/or merging of Broker Dealers, Independent RIA's and Assets (books of business) and or a certain line of business or service.

Origins Of The Broker Protocol Agreement. The “Broker Protocol” is an ag

reement originally signed in August of 2004 between major wirehouses Smith Barney (now Morgan Stanley), Merrill Lynch, and UBS, regarding what client information registered representatives could take with them when changing broker-dealers.. The Broker Protocol came into existence as a form of “cease fire” between ...

If you’ve reached this page, you may have been searching for “Series 79�

�� or “M&A Broker Dealer” or “Series 79 Broker Dealer.” Perhaps you recently left a large investment bank to run your own boutique M&A Advisory firm, knowing you need to keep your Series 79 license with a broker-dealer or perhaps you’ve been advised from either your attorney or a client’s attorney that you ...

To be deemed qualified, an applicant for a mortgage sales rep license will h

ave passed the Series 63 Examination. An applicant may enroll for and schedule to take the Series 63 Examination by contacting FINRA. In addition to passing the Series 63 Examination, an applicant for a license as a sales representative for either a state-licensed broker-dealer and whose securities business is limited ...

Commonwealth has the highest gross revenue per advisor among RIA-independent

b/ds, as reported by Financial Advisor in April 2018. Discover how the nation's largest privately held Registered Investment Adviser–independent broker/dealer that's held true to its founding mission for almost 40 years can help you and your clients thrive.

With more than 20 years of industry experience, Jon is a staunch advocate fo

r independent financial advisors, and is widely sought after by both reps and broker dealers for his expertise and ...

While cyber coverage for broker-dealers customarily extends to all data on t

heir clients, whether housed on corporate servers or those of registered representatives, broker-dealers typically will allow their representatives to engage in insurance sales outside of their platform, both for broker-dealer customers and non-customers.