[8] Additionally, an advisor can be either affiliated with a large firm ("wirehouse") or be independent (e.g., independent broker-dealer or IBD). [8] There are also "hybrid RIAs" who are...
[1] Although many broker-dealers are "independent" firms solely involved in broker-dealer services, many others are business units or subsidiaries of commercial banks, investment banks or...
Launching your own broker-dealer firm is a lot of work. However, the potential payoff can be great, both personally and financially.
What We Offer ; A personal Wealth Management Mentor to guide you through our training and licensing program and home office support to help you build, manage and market your practice. ; Our proprietary Avantax Intelligent Tools technology platform to help you uncover tax savings and wealth management strategies unique to your clients. ; The Avantax Community of tax-focused Financial Professionals and access to training, conferences and regional Growth through Community meetings with your peers.
2024 Independent Broker-Dealer Survey: The IBD Universe And Its Systemic Evolution ; 2023 Independent Broker-Dealer Survey: IBDs Invest In Reps' Succession ; 2022 Independent Broker-Dealer Survey: The Big Blur ; 2021 Independent Broker-Dealer Survey: IBDs Navigate The Pandemic
The term broker-dealer is used in U.S. securities regulation parlance to describe stock brokerages because most of them act as both agents and principals.
For broker dealers and their affiliates, fast-moving markets and stringent regulations are a fact of life. Robust, comprehensive compliance strategies are essential to regulatory compliance, risk m...
A dealer is a person or firm who buys and sells securities for their own account, whether through a broker or otherwise.
the Independent Broker Dealer Channel. The Hybrid Wholesaler will partner with the Division Sales VP in developing and leading the wholesaling efforts with our clients. This role will be...
There are thousands of broker-dealers falling into one of two broad categories: a wirehouse, which sells its own products, or an independent broker-dealer, which sells products from outside...