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Rank Your Independent Broker/Dealer

Every broker/dealer describes itself as advisor centric. It has, in fact, become a cliché.

Every broker/dealer describes itself as “advisor centric.” It has, in fact, become a cliché. If you ask a brokerage executive to explain what makes his firm different, he will say that he views his affiliated FA as a “client.” But, in the real world, how well do IBDs treat their FA “clients?”

For many years, Registered Rep. has surveyed wirehouse advisors asking them to rank their firms in several areas, including support, management and technology, among other things. During that time, we have received numerous requests to offer the same opportunity to independent financial advisors. For those of you affiliated with an IBD, it is now your turn.

With Registered Rep.'s Independent Broker/Dealer Report Card, you get a chance to score your own firm — anonymously. In an upcoming issue, we will provide our readers with hard numbers that compare various independent broker/dealers, to see which are the leaders in service, and which firms are falling behind.

All this information depends on the special effort and good will of many dedicated subscribers — yourself included. Filling out and submitting the confidential questionnaire allows you to play an important role in Registered Rep. magazine. Please complete the survey online by checking out the URL below. Thank you for your time, and thank you for reading Registered Rep. magazine.

As an added incentive, you may paticipate in a drawing for an iPad — simply enter at the end of the survey.


We thank you for your support. Drop us a line with your comments: 249 W. 17th St., New York, N.Y. 10011-5300. Or email us: [email protected]. Publisher Rich Santos can be reached at [email protected].

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