WHITE PAPERS
Contact us for more information on any of the resources shown below (click on the paper’s title to access the file). We look forward to being YOUR Business Growth Expert!
Capturing the Income Distribution Opportunity
A historical analysis of distribution philosophies and a solution for today.
Managing Your Practice in a Shrinking Economy
Providing you with fundamental strategie for success during tough economic times.
Building a Million Dollar Practice
For independent advisors wanting to take their business to the next level, there is no better strategy than studying advisors who have already reached that pinnacle of success.
Hindsight 20/20
Compliance Lessons from the Past – Preparing Advisors for the Future.
ARTICLES OF INTEREST
Securities America is in the news! Click on any of the links below to read more.
Managing Money During Retirement
October 1, 2009 -- Boomer Market Advisor -- Dennis King, senior vice president of business development for Securities America Advisors, Inc., authored the article, "Managing Money During Retirement," for the October issue of Boomer Market Advisor magazine. The article discusses how imperative it is for advisors to fully understand the complexities of distribution planning. King suggests advisors carefully guard against poorly-structure client portfolios and be mindful of clients' withdrawal rates. These areas can have a dramatic positive or negative impact on clients and advisors alike.
Time for Transition, Pt. II
November, 2009 -- Research magazine -- In "Time for Transition, Pt. II," journalist Marie Swift looks at changes some advisory firms are making by expanding through acquisition, while others are selling portions of their book of business in order to focus on a more targeted client base. Don Patrick, Managing Director of Integrated Financial Group/Secutiries America was featured in the article regarding the acquisition process he undertook a few years ago. Patricia Hinds, Granite Financial/Securities America, describes her decision to pare down her client base to stay focused on her target market. Cited in the article is Securities America's white paper, Buyer Prepare: Marketing Yourself as a Practice Buyer.
Click here for part one of the article, and here for part three.
Making Do with Less
October 1, 2009 -- Registered Rep -- In "Making Do with Less" journalist Christina Mucciolo reports that while most sales assistants have experienced a decrease in overall compensation, their responsibilities have grown. She quotes Laurie Burkhard, senior business consultant at Securities America: "The SA is not that administrative assistant you thought of years ago. We look at the SA as truly a professional role," continues Burkhard. "If the office is done right, when the client calls in, he should ask for the SA, not the advisor."
Time For A Transition
September 2009 -- Researchmag.com -- In "Time for a Transition," the first of a three-part series, Marie Swift quotes Securities America's Gregg Johnson, senior vice president and director of branch development, training and support, who says that we're seeing a "move to quality." "Now that advisors are able to turn their attention back to managing their business rather than spending all their time calming frantic clients, they can again consider making a move," says Johnson. "Clients are better able to deal with the disruption of having their accounts moved from one custodian to another, but advisors making such a move must be intentional and deliberate about communicating sufficiently to shepherd clients through the process."
FINRA's new rules might force firms to name some good guys in client complaints
September 1, 2009 -- Compliance Exchange -- Tracy DeWald, General Counsel at Securities America, is quoted in the article "In its zeal to root out bad brokers, FINRA's new rules might force firms to name some good guys in client complaints." The article explains that, due to new FINRA rules, financial advisors could face more marks against them in their permanent records. DeWald says that firms don’t want to make a disclosure that is not required because then they face claims by the broker.
