Friendly Broker Dealer | Keyword Rankings

Google Keyword Rankings for : friendly broker dealer

1 An Independent Advisor Finds His Freedom
https://www.diamond-consultants.com/case-studies/an-independent-advisor-finds-his-freedom/
[1] A true friendly broker dealer encourages advisors to operate their own independent RIAs and only leverage the BD for commission business. Since a friendly ...
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2 Anatomy of a Fiduciary-Friendly Broker/Dealer
https://www.wealthmanagement.com/regulation-compliance/anatomy-fiduciary-friendly-brokerdealer
› anatomy-fiducia...
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3 Top 10 RIA-Friendly Indie BDs - ThinkAdvisor
https://www.thinkadvisor.com/2012/06/29/top-10-ria-friendly-indie-bds/
10. First Allied Securities · 9. Geneos Wealth Management · 8. Securities America · 7. Cambridge Investment Research · 6. American Portfolios ...
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4 Hybrid | Independent Broker-Dealer RIA | Financial Advisors
https://www.scfsecurities.com/financial-advisor-business-models/hybrid/
Independent RIA-friendly. If you manage your own independent RIA and are looking for broker-dealer affiliation, give us a call. We can discuss the idea of ...
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5 Advisor Creates Annuity Solution For Breakaway RIAs
https://www.fa-mag.com/news/advisor-creates-annuity-solution-for-breakaway-rias-61658.html
And unlike friendly broker-dealers, his firm does not have to go in and supervise the RIA. “It's really more of an arm's length, clean breakaway ...
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6 Registered Investment Advisors/Hybrid Advisors - Cantella.com
https://www.cantella.com/clients-registered-investment-advisors-hybrid-advisors.php
For friendly broker/dealer intermediary services that do not overstep and impose FINRA regulatory oversight on the RIA business · To leverage our clearing ...
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7 Hybrid RIA - M.S. Howells & Co.
https://www.mshowells.com/hybrid-ria
As a “friendly" broker-dealer, we offer competitive payout structures for registered representatives and do not take an override on fee-based business with ...
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8 Truly RIA-Friendly Broker-Dealers on the Horizon? - JD Supra
https://www.jdsupra.com/post/contentViewerEmbed.aspx?fid=f2266e5d-0f02-4a6b-871c-495180bd679a
FINRA recently proposed a rule (the “Proposed Rule”) addressing FINRA-registered broker-dealer's (“Broker-Dealers”) responsibilities to supervise the ...
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9 Aurora Private Wealth Capital
http://www.aurorapw.com/apwcapital.php
for “fee-friendly” broker-dealer services, but who provide investment advisory services to clients through their own unaffiliated Registered Investment Advisor ...
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10 Broker-Dealers vs. RIAs: What's the Difference? - Investopedia
https://www.investopedia.com/articles/active-trading/100915/rias-and-independent-brokerdealers-comparison.asp
Broker-dealers do not have to act in the best interests of the client, and they are only required to meet the lower suitability standard. Broker-dealers may ...
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11 Who We Are - PCS Advisors
https://pcsadvisors.net/about/
Owned by Private Client Services, a leading RIA-friendly Broker/Dealer, we offer an open-architecture, all-inclusive platform to fee-only and hybrid ...
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12 Our Broker Dealer - Independent Financial Professionals
https://www.ifprofessionals.com/our-broker-dealer
Instead of asking you to fit into a mold of how it thinks you should do business, Cambridge empowers you with a vast menu of compliance-friendly programs, ...
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13 What Should I Do With My Legacy Commission Business?
https://transitiontoria.com/what-should-i-do-with-my-legacy-commission-business/
Like I said, I did an episode earlier primarily on so-called RIA-friendly broker-dealer solutions. I'm going to touch on that again on this ...
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14 Hybrid RIA - FocusPoint Solutions
https://www.focuspointsolutions.com/who-we-serve/hybrid-advisors/
Do you plan to do mostly fee-based business but keep a B-D (broker-dealer) relationship? ... Point you in the direction of various fee-friendly B/D's ...
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15 PKS Investments - committed to excellence : PKS Investments
https://www.pksinvest.com/
Purshe Kaplan Sterling Investments (“PKS”) is a full-service broker/dealer and financial services firm headquartered in Albany, New York.
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16 Making way for breakaways - InvestmentNews
https://www.investmentnews.com/making-way-for-breakaways-45593
That's why accommodating the securities business of breakaway brokers is critical ... And it's why so-called RIA-friendly broker-dealers, ...
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17 Directory Listings - RIABiz
https://riabiz.com/d
Private Advisor Group. Filed under: Specialized Breakaway Service, RIA-Friendly Broker-Dealer, RIA Serving Other RIAs, ...
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18 Going RIA and keeping your brokerage business - AdvisorHub
https://www.advisorhub.com/wp-content/uploads/2019/08/Hybrid-Considerations-OPT.pdf
Wentworth owns and operates four broker-dealers, including Purshe Kaplan Sterling Investments, an RIA-friendly broker-dealer frequently used ...
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19 Chicago Wealth Management | Associated News
https://www.worldequitygroup.com/associated-news.html
The firm's strategic focus is to acquire broker/dealers and capture the ... with open-architecture friendly broker-dealer support to the RIA community.
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20 Securities America
https://www.securitiesamerica.com/
At Securities America, we pride ourselves on providing exceptional service. That means we focus on doing business in a friendly, efficient and effective way ...
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21 Trustee Services for the Independent Broker / Dealer
https://www.wealthadvisorstrust.com/independent-broker-dealer
Advisors using the power of the Independent Broker / Dealer (IBD) business model need all their clients to exist under one compliance and custody roof.
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22 RFG Advisory Repositions with RIA-Friendly Broker-Dealer to ...
https://www.businesswire.com/news/home/20180604005945/en/RFG-Advisory-Repositions-with-RIA-Friendly-Broker-Dealer-to-Support-Growth-Goals
As an independent broker-dealer, working exclusively with hybrid firms like RFG, we understand that advisor needs are vast and varied. It is our ...
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23 News Archives | Henschen & Associates
https://henschenassoc.com/news-archives/
Broker/Dealers Speak Out on Regulatory Vexation · Forced Equality Has a History of Genocidal Results · Anatomy of a Fiduciary-Friendly Broker/Dealer · The Dark ...
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24 How Clients Pay For Broker-Dealer Forgivable Notes
https://www.kitces.com/blog/forgivable-note-gdc-recruiting-bonus-broker-dealer-fiduciary-friendly-embedded-costs-revenue-sharing-markups-fees/
In the early days of insurance broker-dealer recruiting efforts, ... Notably, though, a new crop of some fiduciary-friendly brokers are ...
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25 AmeriVet Securities | Veteran Owned & Operated Broker Dealer
https://amerivetsecurities.com/
An Institutional Broker-Dealer, owned and Operated by Disabled U.S. Military Veterans. We combine the skills and experience of capital markets specialists ...
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26 Michigan Legislature - Section 451.2401
http://www.legislature.mi.gov/mileg.aspx%3Fpage%3DgetObject%26objectName%3Dmcl-451-2401
Safe link to share. ... printer freindly. printer friendly. UNIFORM SECURITIES ACT (2002) (EXCERPT) Act 551 of 2008. 451.2401 Broker-dealer registration ...
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27 Better Solutions - Spire Investment Partners
https://www.spireip.com/better-solutions
Do you have a friendly broker/dealer you can trust as a true partner for your RIA firm? If the answer's not a resounding “Yes!” then allow us to show you ...
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28 The Difference Between RIAs and Broker-Dealers
https://www.shakespearewm.com/the-difference-between-rias-and-broker-dealers/
Independent broker-dealers include firms like LPL where the advisors are independent, may have their own advisory firm but use the independent broker-dealer for ...
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29 Advisor Services Landing Page - Redhawkwa.com
https://redhawkwa.com/advisor-services/
For hybrid advisors, Redhawk also has several friendly broker-dealer affiliations. Redhawk offers a full-suite of services to advisors that include the ...
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30 RIA or Broker-Dealer: The Pros and Cons of Each - AssetMark
https://www.assetmark.com/blog/ria-vs-broker-dealer
As a hybrid firm, you can dual register as an RIA and broker-dealer which allows for you to operate with both a fee- and commission-based ...
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31 Our Broker-Dealer - Choice Financial Advisors
https://www.choicefa.com/our-broker-dealer
As independent financial professionals, we have the freedom to choose who we do business with, including who we use as our broker-dealer.
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32 Broker Dealer - Bay View Capital Advisory Group, Inc.
https://www.bvcadvisory.com/our-broker-dealer
Our Broker Dealer Partner ... Securities America takes pride in providing exceptional service. They focus on doing business in a friendly, efficient and effective ...
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33 Partners | IP Financial Advisory Services, LLC
https://ipfinancialservicesllc.com/partners.aspx
Multiple Services: RIA Set Up Services, RIA Friendly Broker-Dealer Services, Specialized Breakaway Services, Independent Advisor Representative Services ...
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34 International Assets Advisory, LLC- world-class financial ...
https://www.iaac.com/
International Assets Advisory, LLC (IAA) is an independent broker-dealer that has been serving financial professionals and institutions since 1982.
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35 helping experienced reps. become more successful!
http://themeckgroup.com/reps/finprofessionals.html
Bobb and his late brother David formed Main Street Securities, LLC in 1999, as a producer friendly Broker Dealer. They built the firm to 70 representatives ...
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36 Our Broker Dealer- Cambridge - Clear View Advisors
https://www.clearviewadvisorspa.com/p/our-broker-dealer-cambridge
We have chosen Cambridge Investment Research, Inc. (Cambridge) as our independent broker-dealer – the company that processes our investment business and helps ...
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37 Outsourcing Can Be An Advantage for Broker-Dealers
https://www.oysterllc.com/what-we-think/outsourcing-can-be-an-advantage-for-broker-dealers-is-it-time-for-your-firm/
... what I'll term is a friendly broker dealer model. They become a super OSJ or something to that sort with an independent broker dealer.
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38 User-Friendly Technology - LifePlans Financial
https://www.lifeplans-financial.com/user-friendly-technology
Because of our affiliation with Advisor Group's network of independent broker-dealer firms, we have access to some of the most cutting edge, time-saving and ...
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39 6.10.502 : CANADIAN BROKER-DEALERS AND ...
https://rules.mt.gov/gateway/ruleno.asp?RN=6%2E10%2E502
Printer Friendly Version · 6.10.502 CANADIAN BROKER-DEALERS AND SALESPERSONS. (1) A Canadian broker-dealer that is resident in Canada, and has no office or ...
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40 Broker Dealer - Full Spectrum Financial Solutions
https://www.fullspectrumfinancialsolutions.com/p/broker-dealer
Securities America's parent company, Ladenburg Thalmann Financial ... to IPOs – plus advisor-friendly trust services and more asset management support.
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41 Cambridge Honored as 13-time Broker-Dealer of the Year 2020
https://www.joincambridge.com/about-cambridge/news/cambridge-honored-as-13-time-broker-dealer-of-the-year-2020/
Cambridge is honored to be recognized Broker-Dealer of the Year1 in 2020 by Investment Advisor magazine. Cambridge is the only firm to achieve this ...
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42 Operations Manager - Calton
https://www.calton.com/careers/operations-manager-2/
With over 100 offices nationwide Calton & Associates is a family friendly broker/dealer for quality advisors who want independence along with support to ...
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43 Broker-Dealers and Investment Advisors - Honigman LLP
https://www.honigman.com/practices-broker-dealers-and-investment-advisors
We have assisted many clients in the registration and formation of broker-dealer and investment advisor firms. For a number of years, members of the group have ...
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44 Account opening for broker-dealers - FNZ
https://onboarding.fnz.com/solutions/broker-dealers
By adopting a readily available, user-friendly solution that can be configured to meet their business needs, advisors can rapidly deliver seamless onboarding ...
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45 Broker Dealers - Benjamin F. Edwards | Financial Advisors
https://benjaminfedwards.com/broker-dealer/
Imagine working as a broker dealer for a firm that is as committed to your clients as you are; a company where you are free to handle your clients' accounts ...
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46 About Cetera Advisors - Ohana Wealth Management
https://www.ohanawealthmanagement.net/about-cetera-advisors-individual-3w94n
As my broker-dealer, they are responsible for executing trades on your behalf. Like all broker-dealers, they must undergo regular auditing, and are required to ...
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47 Partner With Us - Generations Wealth Advisors
https://www.mygenwealth.com/partner-with-us/
An exceptional broker-dealer - Voted Broker/Dealer of the Year 7 of the last 9 years.* Excellent back-office support. Reliable and user-friendly technology.
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48 Connect Up – More than business solutions, it is about a ...
https://unitedplanners.com/
BrokerCheck helps you make informed choices about brokers and brokerage firms-and provides easy access to ... Anatomy of a Fiduciary-Friendly Broker/Dealer.
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49 Broker-Dealers - State of Michigan
https://www.michigan.gov/lara/bureau-list/cscl/securities/industry/other/broker-dealers
LARA is proud to be recognized as a Veteran-Friendly Employer committed to military veteran recruitment, training and retention practices. LARA is dedicated to ...
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50 Our Broker-Dealer | Stonepath Wealth Management
https://www.stonepathwm.com/our-broker-dealer/
A broker-dealer is a company that processes the investment business of affiliated registered representatives (rep-advisors).
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51 Broker-Dealer & Investment Adviser Compliance - VComply
https://www.v-comply.com/broker-dealer-investment-adviser-compliance/
VComply helps investment advisers, brokers and dealers to establish controls to address their compliance obligations.
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52 Solutions for Broker Dealers | Orion Advisor Technology
https://orionadvisortech.com/who-we-serve/broker-dealers/
Running a successful broker-dealer requires a distinct balance between growth, transparency, and talent recruitment—made possible only with the right ...
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53 Our Broker Dealer - CUE Financial Group
https://www.cuefinancialnm.com/our-broker-dealer
Securities America is our broker dealer. ... advisors by delivering extraordinary service, professional development support and user-friendly technology, ...
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54 LPL's Fee-Only RIA Support Tool Makes Financial Headlines
https://www.lpl.com/join-lpl/why-choose-lpl/news-and-insights/lpl-fee-only-ria-tool-makes-headlines.html
Now LPL will serve broker-dealers & fiduciary-based advisors. ... custodian as well as a friendly broker-dealer … in an integrated fashion.
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55 Prospera Financial Services: Independent Broker-Dealer Firm
https://www.prosperafinancial.com/
As a boutique broker-dealer, we provide commitment and agility to entrepreneurial financial advisors and emphasize independence, flexibility and support.
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56 Our Partners - Bulls Financial Group
https://www.bullsfinancialgroup.com/Our-Partners.18.htm
Your independent financial professional utilizes a broker-dealer who provides services that include processing investment business, marketing assistance, ...
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57 Join Our Team
https://www.gvcidahofalls.com/p/join-our-team
Together with our broker-dealer and insurance partners we offer the ability for ... Advisors has access to an RIA friendly and comprehensive broker dealer.
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58 Our Broker Dealer - Wealth Strategy Advisors
https://www.wealthstrategyadvisors.net/Our-Broker-Dealer.10.htm
Cambridge is among the top 10 independent broker-dealers based on revenue and ... Cambridge empowers you with a vast menu of compliance-friendly programs, ...
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59 Broker-Dealer Regulatory | Services - Stradley Ronon
https://www.stradley.com/services/practices/broker-dealer-transfer-agent
The attorneys in our broker-dealer regulatory practice counsel broker-dealers and other financial intermediaries that buy, sell and trade securities ...
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60 Independent Broker-Dealers - Dis-computer
https://www.disthailand.com/independent-broker-dealers
Hundreds of leading independent broker-dealers count on Laserfiche document management systems to create a user-friendly, standardized system for managing ...
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61 Our Broker-Dealer - Athlon Advisors
https://athlonadvisors.com/about-us/broker-dealer/
Instead of asking financial professionals to fit into a mold, they are empowered with a vast menu of compliance-friendly programs, products, and ...
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62 Remote-Friendly Broker Dealer Support Analyst jobs - The Muse
https://www.themuse.com/hiring/location/remote-flexible/keyword/broker-dealer-support-analyst/
Remote-Friendly Broker Dealer Support Analyst jobs hiring now on The Muse.
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63 Broker-Dealers we work with - Pulse360
https://pulse360.com/broker-dealers
Our Broker-Dealers · Cambridge Investment Research logo · JW Cole logo · Kestra logo · Ameritas logo · Advisor Group Logo · royal alliance logo · Sage Point Financial ...
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64 Broker-Dealer Concepts
https://prfirmpwwwcdn0001.azureedge.net/prfirmstgacctpwwwcdncont0001/uploads/a1211044b6126a47c9676f172d3299b4.pdf
Published by the Broker-Dealer & Investment Management Regulation Group ... “friendly” broker-dealer and that firm would have to be party to the engagement.
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65 Broker-Dealers - Tucker Ellis LLP
https://www.tuckerellis.com/services/broker-dealers/
... prosecutors, and defense counsel in the broker-dealer and securities context. ... ADHD Friendly Profile More focus & fewer distractions.
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66 Independent Broker Dealer - World Capital Brokerage, Inc
https://worldcapitalbrokerage.com/join-wcb
Independent Broker Dealer, RIA and Insurance Agency that has been supporting Registered Representatives and their clients with all their financial service ...
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67 SEC Registered Broker-Dealer Is Launching a Security Token ...
https://www.coindesk.com/markets/2020/07/23/sec-registered-broker-dealer-is-launching-a-security-token-friendly-platform/
As a registered broker-dealer, Watchdog Capital said it is in a position ... Broker-Dealer Is Launching a Security Token-Friendly Platform ...
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68 First Heartland: Home
https://www.firstheartland.com/
BROKER DEALER. First Heartland® seeks to work with ... First Heartland® offers you innovative technology solutions that are both powerful and user-friendly.
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69 What is a hybrid Registered Investment Advisor (RIA)?
https://www.youtube.com/watch?v=Tz3lrUmM-fc
Transition To RIA
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70 Independent Financial Group: Home
https://ifgsd.com/
... understanding while providing efficient and friendly service to our advisors according to those beliefs. ... Couldn't ask for more in a broker dealer.
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71 A Framework for Addressing Broker-Dealer and Investment ...
https://consumerfed.org/wp-content/uploads/2019/04/CFA-Conflict-of-Interest-Framework.pdf
Conflicts of interest are present in both the broker-dealer and investment adviser business models. Some conflicts are inherent to ... friendly practices.
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72 Broker Dealer Recovery - The Securities Lawyers
https://the-securities-lawyers.com/broker-dealer-recovery/
Our attorneys provide the highest caliber of legal services, with a friendly and informal approach that focuses on cost-effective and goal-oriented solutions.
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73 The Investment Center
https://www.investmentctr.com/
There are 15 categories for the advisors to rate, and the broker-dealer that receives the highest rating is named Broker-Dealer of the Year within their ...
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74 How A Proper Risk Capacity Score Helps Broker-Dealers ...
https://www.tifinwealth.com/blog/how-a-proper-risk-capacity-score-helps-broker-dealers-meet-reg-bi-requirements/
The Regulation Best Interest (Reg BI) rule set out by the SEC on June 30, 2020 means broker-dealers and their associated persons who are ...
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75 Broker Dealers | Marcum LLP | Accountants and Advisors
https://www.marcumllp.com/industries/broker-dealers
The constantly changing regulatory environment has created unique challenges to broker-dealers in their desire to remain compliant with the various ...
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76 Our Broker-dealer | Capital Concepts Financial Group
https://www.cconcepts.com/our-broker-dealer/
As our broker-dealer, Cambridge is committed to providing the resources and support ... a vast menu of compliance-friendly programs, products, and services.
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77 HTK | Hornor, Townsend & Kent, LLC
https://www.htk.com/
The trusted partner supporting independent financial advisors. Broker-dealer and registered investment adviser offering personalized service and an ...
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78 Broker Dealer Services | M & A Licensing
https://www.burchco.com/broker-dealer-sponsorships-m-a-licensing/
If you are seeking a broker-dealer platform that is approved to conduct business in M&A Advisory and private placements with a compliance team in place that ...
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79 Legal Cannabis Investing | Mergers and Acquisitions
https://www.yacapital.com/legal-cannabis
Young America Capital is a nationally-recognized broker-dealer and investment bank providing companies and investors with advisory services across a focused ...
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80 2020 SEC Proposal | Broker-Dealer Audits - Keiter CPA
https://keitercpa.com/blog/sec-broker-dealer-reporting-audit-requirements/
SEC Evaluating Scaled Approach for Broker-Dealer Reporting and Audit Requirements · New SEC Proposal Supports Business Friendly Approach to ...
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81 Ask the Experts: Take Up-Front Recruiting Dollars or Sell My ...
https://ameriflex.com/ask-the-experts-take-up-front-recruiting-dollars-or-sell-my-business/
We have a “friendly broker-dealer” relationship that enables my business to work seamlessly with brokerage accounts and insurance products.
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82 Independent broker dealer PKS settles REIT arbitration
https://www.financial-planning.com/news/independent-broker-dealer-pks-settles-reit-arbitration
PKS — a hybrid RIA-friendly independent broker-dealer acquired by Wentworth Management Services in 2017 — has paid more than $13.5 million ...
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83 Distribution and broker-dealer Legal Advice
https://www.eversheds-sutherland.com/global/en/what/practices/financial-law/distribution-and-broker-dealer.page
Broker-dealers and financial institutions that carry out broker-dealer activities, including investment managers, advisers and insurers, ...
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84 LifeMark Securities Corp > Home
https://lifemark.com/
LifeMark Securities in Rochester, NY is a top independent broker dealer. We serve broker dealers and financial advisors, with maximum integrity and autonomy ...
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85 Advisor Group Goes Live with Reg BI-Oriented eQuipt ...
https://www.advisorgroup.com/news/advisor-group-goes-live-with-reg-bi-oriented-equipt-enhancements
Securities and investment advisory services are offered through the firms: FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc ...
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86 IFP's Broker-Dealer Turns 1 - Independent Financial Partners
https://ifpartners.com/ifps-broker-dealer-turns-1/
Independent Financial Partners (IFP) is a broker-dealer and registered investment adviser, supporting over 240 financial professionals around ...
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87 Advisor Affiliates | Beacon Financial Partners
https://www.beaconplanners.com/join-beacon
In 2015 we formed our own R.I.A. to bring an added element of independence to our firm beyond a complete affiliation with a Broker-Dealer. We feel this is where ...
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88 Broker-Dealer Registration - Securities Compliance Sentinel
https://securitiescompliancesentinel.foxrothschild.com/category/broker-dealer-registration/
FINRA's National Adjudicatory Counsel (“NAC”), recently, affirmed a disciplinary panel decision significantly sanctioning a broker-dealer for paying ...
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89 Landolt Securities, Inc
https://www.landoltsecurities.com/
Landolt Securities, Inc. is a 32 year old full-service investment advisory firm and broker-dealer based Antioch, Illinois; with a network of independent brokers ...
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90 The Key To A Successful Broker/Dealer Transition
http://www.barfinancial.net/sites/default/files/users/barfinancial/TheKeyToASuccessfulBrokerDealerTransition_4-25-13_nomarks.pdf
work Investment Corporation, member FINRA/SIPC, as our Broker/Dealer. Cetera Advisor Networks ... friendly Market Commentaries, bulletins and white papers.
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91 About Us - Aurora Securities, Inc.
https://aurorasecurities.com/about-us/
We are “outside business activity” friendly and understand you may not be selling only securities products. You will have access to offer mutual funds, ...
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92 Registered Investment Advisor
https://repoffice.summitbrokerage.com/registered-investment-advisor.html
Summit?s boutique broker/dealer support services offer outstanding trade execution, and responsive and friendly service, yet allow you to operate your fee ...
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93 Strategies | Broker-Dealer Affiliation - Elefant Financial
https://www.elefantfinancial.com/industry-partner
Strategies | Broker-Dealer Affiliation ... make updates and changes, and keep you apprised of your status through user-friendly web-based systems.
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94 How Breakaway RIAs Can Retain Annuity Trails
https://www.advisorperspectives.com/articles/2022/05/24/how-breakaway-rias-can-retain-annuity-trails
FINRA Rule 2040 states that broker-dealers may not pay any compensation, fees, concessions, discounts, or commissions to any person who is ...
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95 AMERICAN PORTFOLIOS ADVISORS, INC. (APA ...
https://www.wealthmg.com/files/56646/APA%20ADV%2011-17-15.pdf
American Portfolio Advisors, Inc. (“APA” or the “Firm”) is an investment adviser registered with the U.S. Securities.
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96 New England Schooner: Home
https://www.neschooner.com/
Personal, Friendly, Invested ... In partnership with one of the nation's largest independent broker-dealers, Royal Alliance Associates, Inc., our firm helps ...
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